| 19-03333 | 04/13/2020 | Claimant(s): Robert Blakely
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Ellen Rosenberg
Arbitrator(s): Robert T. Allen, Susan L. Luck, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | |
| 19-00732 | 03/18/2020 | Claimant(s): James Warfield
Claimant Lawyers(s): Gary J. Rickner
Respondent(s): ICON Advisers., ICON Distributors.
Respondent Lawyers(s): Gregory A. Eurich
Arbitrator(s): Patricia Ann Tracey, Frank Samuel Perri, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | |
| 19-00880 | 02/04/2020 | Claimant(s): Carl Rogers
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Ameritas Investment Corp., Equity Services.
Respondent Lawyers(s): Andrea D. Snowden, Derek C. Anderson
Arbitrator(s): Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | |
| 18-03638 | 07/11/2019 | Claimant(s): Melody Juge
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Financial West Group, Corecap Investments.
Respondent Lawyers(s): Gene Valentine, Judith A. Villarreal
Arbitrator(s): Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | |
| 18-00474 | 05/14/2019 | Claimant(s): James Sigmon
Claimant Lawyers(s): John B. Veach
Respondent(s): Todd Beddard, T.R. Winston & Company
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Susan L. Luck, Frank V. Tutone, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
|  | $99,663 |
| 17-02500 | 11/30/2018 | Claimant(s): Scott Chamberlain
Claimant Lawyers(s): Scott Dean Chamberlain
Respondent(s): GCG Wealth Management.
Respondent Lawyers(s): M. Robin Davis
Arbitrator(s): Landrum H. Henderson, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
| | |
| 17-01207 | 11/12/2018 | Claimant(s): Kathy Walters
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Richard E. Miley, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
| | $129,058 |
| 16-00695 | 08/16/2017 | Claimant(s): Brenda Phetteplace, Thomas Trout
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Paul Davis Pearlstein, Daniel Lee Tedrick, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | Expungement |
| 12-04258 | 07/14/2014 | Claimant(s): David Clinard
Claimant Lawyers(s): Jeffrey E. Livingston
Respondent(s): Edward Jones
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Patricia Ann Tracey, David M. Pierce, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | |
| 11-03073 | 02/25/2013 | Claimant(s): Corwin Farris, Gloria Farris
Claimant Lawyers(s): Jami Jackson Farris
Respondent(s): Christopher Pridnia, Harry Satterfield, Edward Jones, Allstate Life Insurance Company
Respondent Lawyers(s): David G. Smitham, John F. Hanzel, Peter J. Valeta
Arbitrator(s): Leon Henderson, James Whitaker Ballou, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | Expungement |
