| 22-00904 | 11/03/2023 | Claimant(s): Pamela Snow, Terry Snow
Claimant Lawyers(s): Matt Wolper
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): C Marcus Harris, Frank V. Tutone, Alicia Mitchell-Mercer
Hearing Site: Charlotte, NC
|  | $0 |
| 13-02520 | 03/04/2015 | Claimant(s): Terry Hollar
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Michael Gerken, Stephen Molen, Thrivent Investment Management Inc.
Respondent Lawyers(s): Eric Martin
Arbitrator(s): C. Marcus Harris, James F. Major, David M. Finkel
Hearing Site: Charlotte, NC
| | |
| 13-03622 | 12/29/2014 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): John G. McDonald
Respondent(s): Ronald Pyle
Respondent Lawyers(s): Mark A. Nebrig
Arbitrator(s): C. Marcus Harris, M. Bruce Adelberg, Walter J. Wylie
Hearing Site: Columbia, SC
| | |
| 13-02917 | 04/04/2014 | Claimant(s): Charles Moehrke Jr., Norris Cotton
Claimant Lawyers(s): Charles Henry Moehrke, Norris Gates Cotton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): C. Marcus Harris, Celeste A. Beron, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
| | |
| 13-01360 | 12/24/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): David N. Jonson
Respondent(s): Elizabeth Wilson
Respondent Lawyers(s): Sharon A. Keys
Arbitrator(s): C. Marcus Harris
Hearing Site: Raleigh, NC
| | $0 |
| 11-01739 | 08/28/2012 | Claimant(s): Robert DePalo
Claimant Lawyers(s): Andrew J. Goodman
Respondent(s): Joseph Scire, Joyce Scire
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): C. Marcus Harris
Hearing Site: Columbia, SC
| | Expungement |
| 08-03396 | 05/28/2010 | Claimant(s): Frederick Hart
Claimant Lawyers(s): J. Jerome Hartzell
Respondent(s): Bruce Baker, Peter Dawson, Obsidian Financial Group
Respondent Lawyers(s): Brian Reis, Paul R. Williams, Peter J. Dawson-08A3494
Arbitrator(s): Jack C. Aycock, C. Marcus Harris, Chase Boone Saunders
Hearing Site: Charlotte, NC
| | $89,439 |
| 07-03087 | 10/23/2008 | Claimant(s): Ruimin Chen and Li Pan
Claimant Lawyers(s): Li Pan
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): C. Marcus Harris, Daniel W. Desmond, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
