| 12-04258 | 07/14/2014 | Claimant(s): David Clinard
Claimant Lawyers(s): Jeffrey E. Livingston
Respondent(s): Edward Jones
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Patricia Ann Tracey, David M. Pierce, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | |
| 12-01061 | 05/31/2013 | Claimant(s): Peggy Greene, Sucessor Ttee tr. agr. dtd May 23, 1996
Claimant Lawyers(s): D. Reece Williams
Respondent(s): Synovus Securities.
Respondent Lawyers(s): Benjamin B. Coulter
Arbitrator(s): Laurence M. Scoville, Patricia Ann Tracey, James Risen Gard
Hearing Site: Columbia, SC
|  | $0 |
| 11-04165 | 05/28/2013 | Claimant(s): Douglas Ray Cheek D/P/A for Bobby Cheek
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
| | Expungement |
| 10-05827 | 04/29/2013 | Claimant(s): Naomi Bowling, Richard Bowling
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric M. Morris
Arbitrator(s): Leonard E. Benade, Patricia Ann Tracey, Mary B. Campbell
Hearing Site: Charlotte, NC
| | $0 |
| 11-00210 | 02/08/2012 | Claimant(s): Marie Travisano
Claimant Lawyers(s): Charles D. Heidgerd
Respondent(s): Gregory Grimshaw, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Raleigh, NC
| | $38,301 |
| 10-04531 | 12/05/2011 | Claimant(s): Barry Jones
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Wayne Parker, Patricia Ann Tracey, Michael F. Pearl
Hearing Site: Raleigh, NC
| | Expungement |
| 11-00960 | 08/30/2011 | Claimant(s): Dylan Brooks
Claimant Lawyers(s): Dylan Brooks
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
| | $0 |
| 09-03582 | 01/18/2011 | Claimant(s): Jason Schall
Claimant Lawyers(s): Mitchell Willoughby
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Menendez
Arbitrator(s): Glenn R. Oxner, Patricia Ann Tracey, Walter J. Wylie
Hearing Site: Columbia, SC
| | |
| 10-02864 | 11/23/2010 | Claimant(s): Gordon W. Leech and Robbie L. Leech, Joi
Claimant Lawyers(s): J. Michael Jordan
Respondent(s): Darin Pierce, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
| | $3,425 |
| 08-02486 | 02/03/2010 | Claimant(s): Clifford D. Spikes and Nancy P. Spikes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth Rose Aylett
Arbitrator(s): David P. McDuffee, Patricia Ann Tracey, Frank H. Livingston
Hearing Site: Raleigh, NC
| | $300 |
