22-00858 | 09/07/2023 | Claimant(s): Ruochen Zhou Claimant Lawyers(s): Gary Trachten Respondent(s): Millennium Advisors, Millennium Consolidated Holdings Respondent Lawyers(s): Daniel S. Newman Arbitrator(s): Chase Boone Saunders, James Hugh Williams, Daniel F. Piar Hearing Site: Charlotte, NC
| | |
22-00664 | 06/23/2023 | Claimant(s): Elaine Holland Royster, Joshua Royster, Elaine Holland Royster IRA Claimant Lawyers(s): Matt Wolper Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Compan Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, Jennifer Greene, Julie A. Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney Arbitrator(s): Susan L. Luck, Chase Boone Saunders, James Michael Belk Hearing Site: Charlotte, NC
| | Settlement |
22-01227 | 05/26/2023 | Claimant(s): William Armfield Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Robert K. Jamieson Arbitrator(s): Chase Boone Saunders Hearing Site: Charlotte, NC
| | |
20-01411 | 05/26/2021 | Claimant(s): Edward Tyree, Tammy Hillman Claimant Lawyers(s): Todd A. Zuckerbrod Respondent(s): RBC Capital Markets LLC, Richard Ruckart Respondent Lawyers(s): Amanda E. Colvin Arbitrator(s): Chase Boone Saunders, Richard E. Miley, Kathleen Dooley Hearing Site: Charlotte, NC
| | |
08-03399 | 02/28/2011 | Claimant(s): Sandra Johnson Claimant Lawyers(s): Sarah G. Anderson Respondent(s): Andrew Sycoff, David Scaffe, Andrew Garrett Inc. Respondent Lawyers(s): Barry M. Bordetsky, David Scaffe Arbitrator(s): Donald G. Kennedy, Chase Boone Saunders, Robert M. Seward Hearing Site: Columbia, SC
| | Stipulated Award and Expungement |
08-03396 | 05/28/2010 | Claimant(s): Frederick Hart Claimant Lawyers(s): J. Jerome Hartzell Respondent(s): Bruce Baker, Peter Dawson, Obsidian Financial Group Respondent Lawyers(s): Brian Reis, Paul R. Williams, Peter J. Dawson-08A3494 Arbitrator(s): Jack C. Aycock, C. Marcus Harris, Chase Boone Saunders Hearing Site: Charlotte, NC
| | $89,439 |
07-03347 | 06/15/2009 | Claimant(s): Ray Gatten Claimant Lawyers(s): J. Pat Sadler Respondent(s): Ferris, Baker Watts Respondent Lawyers(s): Daniel J. Donovan Arbitrator(s): Calvin D. Cevaal, Chase Boone Saunders, Stuart W. Elliott Hearing Site: Charlotte, NC
| | |