| 12-01697 | 11/06/2013 | Claimant(s): First Command Financial Planning., First Command Financial Services., First Command Securities Corporation
Claimant Lawyers(s): Ethan H. Cohen, Steven W. Hamm
Respondent(s): Bradford WilsonL Financial LLC, James Agostini, Jeanine Bodie, Jeb Zoller, Patrick Burgess, Robert Paschal, Shelby Hill, Stephen Simmons, Davinci Financial Designs
Respondent Lawyers(s): Cory E. Manning, Elizabeth Ann Agostini, Justin M. Kata, Richard J. Morgan
Arbitrator(s): W. Wells Van Pelt, Charles L.A. Terreni, Donald John Andres
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 |
| 09-00796 | 12/21/2009 | Claimant(s): Estate of Peter W. Roslund
Claimant Lawyers(s): David C. Berman
Respondent(s): J.P. Morgan Securities, Stephen Gabriel
Respondent Lawyers(s): Eugene L. Small, Ronald P. Kane
Arbitrator(s): Leonard E. Benade, W. Wells Van Pelt, John R. Morris
Hearing Site: Charlotte, NC
| | Stipulated Award and Expungement |
