| 19-03049 | 01/19/2021 | Claimant(s): Christopher Bice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
| | |
| 17-02676 | 07/12/2019 | Claimant(s): Adriana Fuertes, Camelia Fuertes, Esther Mudafort And Roberto Fuertes
Claimant Lawyers(s): Eric Quetglas Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Louis Frank Mendez, Roberto C. Quinones-Rivera
Arbitrator(s): Lynne T. Albert, Douglas Earl McLaren, Robert G. Falbisaner
Hearing Site: San Juan, PR
|  | $4,881,880 |
| 18-02175 | 01/25/2019 | Claimant(s): John Balcerzak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities., World Group Securities.
Respondent Lawyers(s): Clive Slovin, Susan D. Duff
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
| | |
| 14-01708 | 02/09/2017 | Claimant(s): Joe Poteat
Claimant Lawyers(s): Neil A. Riemann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Leonard E. Benade, Lynne T. Albert, James Risen Gard
Hearing Site: Charlotte, NC
| | $0 |
| 15-01640 | 12/06/2016 | Claimant(s): Bonnie Shepherd, Holton Shepherd, Robert Young, 109 U Pull It. Robert C. Young, Holton & Bonnie Shepherd
Claimant Lawyers(s): Patricia L. Vannoy, Ryon M. McCabe
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Richard S. Zaifert, Lynne T. Albert, Richard James Igou
Hearing Site: Raleigh, NC
| | $119,177 |
| 14-02886 | 09/21/2015 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Mason G. Alexander
Respondent(s): Robert Dull
Respondent Lawyers(s): David R. Payne
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
| | |
| 15-00949 | 09/21/2015 | Claimant(s): Edward Cavallone
Claimant Lawyers(s): Fred B. Monroe
Respondent(s): Wells Fargo Advisors, William Mode
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
| | $600 |
| 14-01606 | 12/29/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Jay H. Mintz IRA Rollover, Jay H. Mintz Revocable Trust
Respondent Lawyers(s): William Young
Arbitrator(s): Leonard E. Benade, Timothy J. Wright, Lynne T. Albert
Hearing Site: Raleigh, NC
| | Expungement |
| 14-01579 | 12/23/2014 | Claimant(s): Jonathan Phillips
Claimant Lawyers(s): Gilbert C. Laite
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Lynne T. Albert, Michael J. Henke, Stephen Gregg Ellis
Hearing Site: Raleigh, NC
| | |
| 12-04021 | 06/20/2014 | Claimant(s): George Simon, James Avola, Mark Wesley
Claimant Lawyers(s): George Papp Simon, James Paul Avola, Mark Christopher Wesley
Respondent(s): Bruno Fernandes, Ira Karaba, Apex Clearing Corporation
Respondent Lawyers(s): Charles Devore, Daphne Tippens Chisolm, Ira Scott Karaba
Arbitrator(s): Linda A. Allen, Lynne T. Albert, Matthew J. Hoysa
Hearing Site: Charlotte, NC
| | |
