| 21-02205 | 02/07/2024 | Claimant(s): Andrea McKinley
Claimant Lawyers(s): Eric Spengler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stephen Dellinger
Arbitrator(s): Lisa Bass Morris, Daniel F. Piar, Victoria Liccione
Hearing Site: Charlotte, NC
| | |
| 19-02406 | 07/18/2023 | Claimant(s): Mark Dickman
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Jessica Sexton, Robert Russo
Respondent Lawyers(s): Jonathan S. Robbins
Arbitrator(s): Lisa Bass Morris, Rebecca Sofley Henderson, Eric C Chilton
Hearing Site: Charlotte, NC
| | |
| 16-02576 | 03/07/2018 | Claimant(s): Gerald Sharman
Claimant Lawyers(s): Jeffrey Thomas
Respondent(s): Morgan Stanley, Richard Shalhoub
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): Lisa Bass Morris, Andrew Barton, Scott Gammel
Hearing Site: Denver, CO
|  | $0 |
| 16-03138 | 08/29/2017 | Claimant(s): Derek Copeland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Lisa Bass Morris
Hearing Site: Charlotte, NC
| | |
| 15-00660 | 08/30/2016 | Claimant(s): Casey Sutton
Claimant Lawyers(s): Robert A. Bracken
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Lorie E. Almon
Arbitrator(s): Stephen P. Hoffman, Michael C. Wittenberg, CPF, CLU, ChFC, Lisa Bass Morris
Hearing Site: Charlotte, NC
| | |
| 14-03302 | 06/23/2015 | Claimant(s): Jeffrey Caveslio
Claimant Lawyers(s): Gary Menzer
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lisa Bass Morris
Hearing Site: Charlotte, NC
| | $213 |
| 13-01514 | 04/17/2014 | Claimant(s): Heidi Simmons
Claimant Lawyers(s): Heidi J. Simmons
Respondent(s): Kinyon Vinson
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Lisa Bass Morris
Hearing Site: Charlotte, NC
| | $0 |
| 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 |
| 12-02349 | 11/26/2013 | Claimant(s): J.W. Pickens, J.W. Pickens Jr., as Trustee U/W/O JW
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Charles L.A. Terreni, Walter J. Wylie, Lisa Bass Morris
Hearing Site: Columbia, SC
| | $1,307,920 |
| 12-01939 | 08/28/2013 | Claimant(s): Harold Blackwell
Claimant Lawyers(s): Robert W. Wilkins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): H. Landis Wade
Arbitrator(s): Linda A. Allen, Susan L. Luck, Lisa Bass Morris
Hearing Site: Charlotte, NC
| | |
