Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-00511 | 02/10/2022 | Claimant(s): David Thompson Claimant Lawyers(s): Brian J. Neville Respondent(s): TD Private Client Wealth Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Leonard E. Benade, Douglas Earl McLaren, Norman Lee Gunn Hearing Site: Charlotte, NC | ||
| 21-00029 | 07/22/2021 | Claimant(s): Elizabeth Fox Claimant Lawyers(s): John H. Griffing Respondent(s): Money Concepts Capital Corp. Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Leonard E. Benade Hearing Site: Charlotte, NC |  | Dismissed by Rule 12206 |
| 19-02286 | 03/20/2020 | Claimant(s): Dorothy Yandle Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): HD Vest Investment Services Respondent Lawyers(s): Eric J. Chartan Arbitrator(s): Leonard E. Benade Hearing Site: Charlotte, NC | ||
| 17-01680 | 09/20/2018 | Claimant(s): Diana Needham Claimant Lawyers(s): Jonathan Kurta Respondent(s): Geoffrey Frazier, Timothy Lyle Respondent Lawyers(s): Brian A. Carlis, Debra A. Jenks Arbitrator(s): Leonard E. Benade, Muriel Desloovere, Michael J. Pasquale Hearing Site: Raleigh, NC | | Expungement |
| 18-00290 | 08/14/2018 | Claimant(s): Kenneth Hill Claimant Lawyers(s): Eric Litow Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Leonard E. Benade Hearing Site: Raleigh, NC | ||
| 17-01846 | 12/01/2017 | Claimant(s): Southeast Investments, N.C.. Claimant Lawyers(s): Frank H Black Respondent(s): Michael Lessard Respondent Lawyers(s): James W. Sheedy Arbitrator(s): Leonard E. Benade Hearing Site: Charlotte, NC | ||
| 17-00212 | 06/28/2017 | Claimant(s): Javed Maniya Claimant Lawyers(s): Javed Maniya Respondent(s): OptionsHouse Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Leonard E. Benade Hearing Site: Charlotte, NC | | $0 |
| 14-01708 | 02/09/2017 | Claimant(s): Joe Poteat Claimant Lawyers(s): Neil A. Riemann Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Louis F. Mendez Arbitrator(s): Leonard E. Benade, Lynne T. Albert, James Risen Gard Hearing Site: Charlotte, NC | | $0 |
| 16-00229 | 10/13/2016 | Claimant(s): Hagar Jackson Claimant Lawyers(s): Robert D Rouse Respondent(s): John Matta, Edward Jones Respondent Lawyers(s): Robert J. Osdieck Arbitrator(s): Leonard E. Benade Hearing Site: Raleigh, NC | | $8,718 |
| 14-00001 | 02/26/2015 | Claimant(s): Steven Carlson Claimant Lawyers(s): Ronald M. Amato Respondent(s): LPL Financial LLC Respondent Lawyers(s): Melanie Black Dubis Arbitrator(s): Leonard E. Benade, Fred Kelner, Lynda Joyce Howell Hearing Site: Raleigh, NC |