| 21-02490 | 11/21/2022 | Claimant(s): Linda Puryear
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BB&T Securities
Respondent Lawyers(s): Alexander M. Madrid
Arbitrator(s): Mary E. Woytek
Hearing Site: Charlotte, NC
| | |
| 20-03257 | 07/27/2022 | Claimant(s): Ashok Aiyappa, Varalakshmi Aiyappa
Claimant Lawyers(s): Ashok Aiyappa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Mary E. Woytek, Karen L. Crump-Wilson, Jeffrey Axelrad
Hearing Site: Washington, DC
|  | $0 |
| 20-03094 | 12/02/2021 | Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Dillon
Arbitrator(s): Mary E. Woytek
Hearing Site: Charlotte, NC
| | |
| 21-00007 | 11/29/2021 | Claimant(s): Gitee Jabarkhail
Claimant Lawyers(s): Gitee Jabarkhail
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Mary E. Woytek
Hearing Site: Washington, DC
| | $0 |
| 20-02252 | 08/26/2021 | Claimant(s): James Womack
Claimant Lawyers(s): Michael E. Ciochina
Respondent(s): Luke McKelvy
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Mary E. Woytek, Bruce Wayne Campbell, Victoria Liccione
Hearing Site: Charlotte, NC
| | |
| 20-00117 | 08/28/2020 | Claimant(s): Phylyp Wagner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): H. Beck.
Respondent Lawyers(s): Lydia Zaidman
Arbitrator(s): Mary E. Woytek
Hearing Site: Washington, DC
| | |
| 19-01937 | 06/22/2020 | Claimant(s): Suzanne Banzet
Claimant Lawyers(s): D. Stuart Punger
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Mary E. Woytek, Marie Paulette Levine, Stephen Edwin Anderson
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 |
| 17-01244 | 06/12/2019 | Claimant(s): Sandra Calderon, Bluebird Corporation
Claimant Lawyers(s): Gregg Breitbart, Osvaldo Carlo Linares
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi P. Spallina, Roberto C. Quinones
Arbitrator(s): Mary E. Woytek, Allan R. Lazor, Stephen Louis Wright
Hearing Site: San Juan, PR
| | Expungement |
| 17-01206 | 12/10/2018 | Claimant(s): Ricky Vanzant
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Mary E. Woytek, James A. Hayes, James F. Major
Hearing Site: Charlotte, NC
| | $550,000 |
