| 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 |
| 19-02937 | 06/12/2020 | Claimant(s): Gerald Hanifan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Investment Center., USA Financial Securities Corporation
Respondent Lawyers(s): Douglas A. Wright, Joel T. Brusk
Arbitrator(s): Richard E. Miley
Hearing Site: Charlotte, NC
| | |
| 17-02365 | 07/05/2019 | Claimant(s): Jamie Brown, Roger Brown
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): George Rankin, UBS Financial Services Inc., Samuel Rankin
Respondent Lawyers(s): Anthony J. Borrelli, Cory Hohnbaum
Arbitrator(s): Mary E. Woytek, John Russell Barlow, Richard E. Miley
Hearing Site: Charlotte, NC
| | $125,000 |
| 17-01207 | 11/12/2018 | Claimant(s): Kathy Walters
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Richard E. Miley, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
| | $129,058 |
| 17-00438 | 11/21/2017 | Claimant(s): Robert Carlson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Richard E. Miley
Hearing Site: Charlotte, NC
| | |
| 16-01640 | 11/17/2016 | Claimant(s): Jane Schultz
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Richard E. Miley
Hearing Site: Charlotte, NC
| | $9,850 |
| 14-02268 | 03/09/2016 | Claimant(s): Charles Dyer
Claimant Lawyers(s): Robert G. McIver
Respondent(s): James Brown, Kirk Smith, Raymond James Financial Services.
Respondent Lawyers(s): Kenneth W. McAllister, Robert M. Rudnicki
Arbitrator(s): Charles S. Clayton, Richard E. Miley, Stephen Gregg Ellis
Hearing Site: Raleigh, NC
| | |
| 14-02876 | 01/27/2016 | Claimant(s): Carlos Valverde
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert Finder, Richard E. Miley, Peter H. Goldberg
Hearing Site: San Juan, PR
| | Expungement |
| 11-03225 | 12/03/2014 | Claimant(s): Helen Edgerton
Claimant Lawyers(s): Robert G. Rikard
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Charles F. Boufford, Richard E. Miley, Donald John Andres
Hearing Site: Columbia, SC
| | Expungement |
| 12-02765 | 12/04/2013 | Claimant(s): Margie Christian, Roland Stout, NNN Aventura Harbor Center 27, NNN Aventura Harbor Center 28, NNN Sienna Office Park One 26
Claimant Lawyers(s): David Liebrader
Respondent(s): Mark Whitley, Phillip Whitley
Respondent Lawyers(s): Phillip Thomas Whitley
Arbitrator(s): Lisa Bass Morris, Richard E. Miley
Hearing Site: Charlotte, NC
| | Expungement |
