| 22-01055 | 07/03/2023 | Claimant(s): Paul Mattera
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Edward Jones
Respondent Lawyers(s): Charles E. Raynal
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Raleigh, NC
|  | Expungement |
| 19-03743 | 05/25/2021 | Claimant(s): Accurate Building Co. LLC
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Four Points Capital Partners LLC
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Robert H. Putnam, Patricia Ann Tracey, Denise Morris Hammond
Hearing Site: Columbia, SC
| | Expungement |
| 20-01930 | 04/13/2021 | Claimant(s): Ricky Higgins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): ProEquities.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
| | |
| 20-02617 | 03/29/2021 | Claimant(s): Bill Wolfe and Debbie Wolfe
Claimant Lawyers(s): Bill Wolfe
Respondent(s): Amber McCormick, Larry Potts
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
| | Expungement |
| 17-02244 | 11/17/2020 | Claimant(s): Kyle Busch, Samantha Busch
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Charles Parks, C.F. Parks & Co.., Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Patricia Ann Tracey, Richard E. Miley, James Howell Garrison
Hearing Site: Charlotte, NC
| | $135,000 |
| 19-00732 | 03/18/2020 | Claimant(s): James Warfield
Claimant Lawyers(s): Gary J. Rickner
Respondent(s): ICON Advisers., ICON Distributors.
Respondent Lawyers(s): Gregory A. Eurich
Arbitrator(s): Patricia Ann Tracey, Frank Samuel Perri, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | |
| 18-00351 | 01/23/2020 | Claimant(s): Samuel Adams
Claimant Lawyers(s): David E Rothstein
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ashley Kutz Kelly
Arbitrator(s): Gregory D. Hoffmann, Patricia Ann Tracey, Bruce W. Bennett
Hearing Site: Columbia, SC
| | |
| 19-00649 | 10/18/2019 | Claimant(s): Wesley Singleton
Claimant Lawyers(s): Stephan Louviere
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
| | |
| 17-01956 | 09/28/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Richard Humphreys
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Leslie R. Berro, Patricia Ann Tracey, Susan L. Luck
Hearing Site: Charlotte, NC
| | |
| 14-03371 | 03/10/2016 | Claimant(s): John Chapman
Claimant Lawyers(s): Amy Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Patricia Ann Tracey, Mitchell M. Willoughby, John G. Shamp
Hearing Site: Columbia, SC
| | |
