| 13-02943 | 05/15/2014 | Claimant(s): Tyler Evans
Claimant Lawyers(s): Tyler Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
|  | $0 |
| 13-01190 | 05/06/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd E. Ratner
Respondent(s): Christopher Spires, Michael Wilder
Respondent Lawyers(s): Christopher Thomas Spires, Michael Dustin Wilder
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Columbia, SC
| | |
| 12-03318 | 11/05/2013 | Claimant(s): Bennet Phillips
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
| | Expungement |
| 10-05079 | 08/12/2013 | Claimant(s): Estate of Wilma S. Yount
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Stephen P. Hoffman, Thomas Doyle Blum, Frank V. Tutone
Hearing Site: Charlotte, NC
| | Expungement |
| 11-04310 | 05/21/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Thomas Moore
Respondent Lawyers(s): Thomas Chapley Moore
Arbitrator(s): Stephen P. Hoffman, Charles Sydnor Thompson, David M. Finkel
Hearing Site: Charlotte, NC
| | |
| 12-01678 | 04/12/2013 | Claimant(s): Ina Alexander
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
| | Expungement |
| 12-00306 | 03/05/2013 | Claimant(s): Charles W. Stager Trust B
Claimant Lawyers(s): Wendy Stager
Respondent(s): Frederick Walker
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
| | $25,704 |
| 12-01708 | 02/04/2013 | Claimant(s): William Gonce
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Edward Jones
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Stephen P. Hoffman, Matthew J. Hoysa, Michael J. Pasquale
Hearing Site: Charlotte, NC
| | $20,000 |
| 11-02035 | 11/28/2012 | Claimant(s): Phillip Sherrill
Claimant Lawyers(s): John B. Veach
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Craig Kuglar
Arbitrator(s): John H. Griffing, Stephen P. Hoffman, Daphne Tippens Chisolm
Hearing Site: Charlotte, NC
| | $283,862 |
| 11-04096 | 10/22/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brent Hardy
Respondent Lawyers(s): Brent Odell Hardy
Arbitrator(s): Stephen P. Hoffman, Richard Peabody Preston, Dana R. Krajack
Hearing Site: Columbia, SC
| | |
