| 12-02948 | 12/02/2013 | Claimant(s): John Hoots
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Camden R. Webb
Arbitrator(s): John Russell Barlow, Richard E. Miley, Frank V. Tutone
Hearing Site: Charlotte, NC
|  | $27,000 |
| 11-04203 | 04/18/2013 | Claimant(s): Sharon Dunning
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Michael Myers
Respondent Lawyers(s): William A. Bryan
Arbitrator(s): Richard E. Miley
Hearing Site: Columbia, SC
| | Expungement |
| 11-01047 | 03/29/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): William Flowers
Respondent Lawyers(s): Steven C. Lawrence
Arbitrator(s): Richard E. Miley
Hearing Site: Raleigh, NC
| | |
| 11-01450 | 03/16/2012 | Claimant(s): Cynthia Harman
Claimant Lawyers(s): John B. Veach
Respondent(s): Edward Jones
Respondent Lawyers(s): James B. Spears
Arbitrator(s): Richard E. Miley, Celeste A. Beron, Richard Timothy Curran
Hearing Site: Charlotte, NC
| | |
| 10-05501 | 11/07/2011 | Claimant(s): Mercer Blankenship
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Tim Baird
Arbitrator(s): Robert T. Allen, Lynne T. Albert, Richard E. Miley
Hearing Site: Charlotte, NC
| | Expungement |
| 10-05504 | 10/13/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Stuart Kimball
Respondent Lawyers(s): Stuart K. Kimball
Arbitrator(s): Richard E. Miley
Hearing Site: Columbia, SC
| | |
| 09-03008 | 05/05/2010 | Claimant(s): MIchelle L. Lakeson, William B. Lakeson, Jr.
Claimant Lawyers(s): Fred W DeVore
Respondent(s): Dominique Vercaemert
Respondent Lawyers(s): Andrew Dorman
Arbitrator(s): W. Wells Van Pelt, John H. Griffing, Richard E. Miley
Hearing Site: Charlotte, NC
| | $43,500 |
| 08-04933 | 12/21/2009 | Claimant(s): James P. Dancy
Claimant Lawyers(s): Kristin S. Nardone
Respondent(s): Jason Swink, Money Concepts Capital Corp
Respondent Lawyers(s): George H. Pender
Arbitrator(s): John H. Griffing, Richard E. Miley, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | $80,179 |
| 07-01775 | 10/06/2008 | Claimant(s): Elizabeth Burnell, Estate of Brian Burnell
Claimant Lawyers(s): John Hanzel
Respondent(s): Frank Black, Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black
Arbitrator(s): Lynne T. Albert, Leslie R. Berro, Richard E. Miley
Hearing Site: Charlotte, NC
| | $0 |
| 07-01100 | 03/28/2008 | Claimant(s): The Shorr Family Trust
Claimant Lawyers(s): Ronald W. Karolyi
Respondent(s): A.G. Edwards & Sons., Terry Dean
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert S. Zuckerman, Michael E. Pearson, Richard E. Miley
Hearing Site: Charlotte, NC
| | $0 |
