| 18-01073 | 08/29/2019 | Claimant(s): Sean Stewart
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Daniel Dvorznak, Nicholas Tsikitas, J.D. Nicholas & Associates.
Respondent Lawyers(s): Irwin Weltz, James Dolan
Arbitrator(s): Richard H. Potter, Susan L. Luck, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
|  | Settlement |
| 09-01424 | 07/06/2010 | Claimant(s): David Chappelle, Michael Healy
Claimant Lawyers(s): Louis L. Lesesne
Respondent(s): Bank of America Securities
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): M. Bruce Adelberg, James Edward Banks, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | |
| 08-04933 | 12/21/2009 | Claimant(s): James P. Dancy
Claimant Lawyers(s): Kristin S. Nardone
Respondent(s): Jason Swink, Money Concepts Capital Corp
Respondent Lawyers(s): George H. Pender
Arbitrator(s): John H. Griffing, Richard E. Miley, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | $80,179 |
| 08-03834 | 12/10/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bradley Stipp
Respondent Lawyers(s): Fred B. Monroe
Arbitrator(s): Charles Glass Smith, Barry M. Cheren, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | |
| 07-02484 | 12/18/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Stephan Day
Respondent Lawyers(s): Stephan T. Day
Arbitrator(s): Sidney L. Sussman, David P. McDuffee, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
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