| 17-01775 | 11/07/2019 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Carole G. Miller
Respondent(s): James Moore
Respondent Lawyers(s): Elizabeth Zeck
Arbitrator(s): Kenneth J. Daras, Stephen P. Hoffman, Richard Leo King
Hearing Site: Columbia, SC
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| 18-03153 | 03/11/2019 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Brandy Pikus
Respondent(s): Steven Dick
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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| 18-00933 | 11/28/2018 | Claimant(s): William Byron
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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| 18-00942 | 10/23/2018 | Claimant(s): William Oliver
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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| 17-00117 | 08/18/2017 | Claimant(s): Dean Williamson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Dickinson & Co.
Respondent Lawyers(s): Nancy Van Hauen
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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| 15-00660 | 08/30/2016 | Claimant(s): Casey Sutton
Claimant Lawyers(s): Robert A. Bracken
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Lorie E. Almon
Arbitrator(s): Stephen P. Hoffman, Michael C. Wittenberg, CPF, CLU, ChFC, Lisa Bass Morris
Hearing Site: Charlotte, NC
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| 13-03401 | 08/08/2016 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Louis Dworsky
Respondent Lawyers(s): Brandon S. Neuman
Arbitrator(s): Stephen P. Hoffman, Donald Cornelius Morrison, Charles S. Clayton
Hearing Site: Raleigh, NC
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| 14-01537 | 12/11/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Claudie Johnson
Respondent Lawyers(s): Claudie Johnson
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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| 13-01545 | 07/16/2014 | Claimant(s): Gloria Kirby, Beneficiary to the Maynard J. Kirby IRA, Gloria M. Kirby IRA
Claimant Lawyers(s): Robert A. Kantas, Ryan Cook
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): John A. Baynes, Stephen P. Hoffman, James Edwin Jackson
Hearing Site: Columbia, SC
|  | Expungement |
| 13-01425 | 07/15/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): R. Rhett Owens
Respondent(s): Matthew Burns
Respondent Lawyers(s): Matthew Alan Burns
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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