Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-01616 | 07/11/2024 | Claimant(s): Francesco Rappa, Rosa Rappa Claimant Lawyers(s): William B. Young Respondent(s): Intercarolina Financial Services. Respondent Lawyers(s): Joseph E. Navolanic Arbitrator(s): Stuart K. Furman Hearing Site: Raleigh, NC |  | $18,600 |
| 23-02840 | 07/11/2024 | Claimant(s): Robert Wheeler Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan W. Hackbarth Arbitrator(s): Michael J. Ahlstrom Hearing Site: Raleigh, NC | ||
| 23-02849 | 06/14/2024 | Claimant(s): Gordon Davis Claimant Lawyers(s): Nathan W. Lamb Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Richard S. Zaifert Hearing Site: Raleigh, NC | ||
| 23-01143 | 04/18/2024 | Claimant(s): Elizabeth Stancil Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Citizens Investor Services. Respondent Lawyers(s): Kyle A. Owens Arbitrator(s): Ian S. Greig Hearing Site: Raleigh, NC | ||
| 21-02754 | 01/02/2024 | Claimant(s): Jeffrey Nemesi Claimant Lawyers(s): Stephan Louviere Respondent(s): Falcon Square Capital Respondent Lawyers(s): Paul J. Bazil Arbitrator(s): Jeffrey R. Brown, Margaret Elizabeth Gee, Danny Lynn Ingram Hearing Site: Raleigh, NC | ||
| 23-00578 | 11/17/2023 | Claimant(s): Tim Tompkins Claimant Lawyers(s): Jonathan Kurta Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Emily M. Knight Arbitrator(s): Kenneth R. Starr, Danny Lynn Ingram, Karen Bonnie Biggs Hearing Site: Raleigh, NC | | Dismissed by Rule 12206(b) |
| 22-01055 | 07/03/2023 | Claimant(s): Paul Mattera Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Edward Jones Respondent Lawyers(s): Charles E. Raynal Arbitrator(s): Patricia Ann Tracey Hearing Site: Raleigh, NC | | Expungement |
| 22-01753 | 01/27/2023 | Claimant(s): Don Rudolph Claimant Lawyers(s): James P. Galvin Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kelsey Vasko Arbitrator(s): Michael J. Ahlstrom, Michael J. Pasquale, Paul Nicholas Inserra Hearing Site: Raleigh, NC | ||
| 22-01747 | 12/15/2022 | Claimant(s): Paul Weiland Claimant Lawyers(s): Paul J. Weiland Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Joseph L. Siders Arbitrator(s): Barbara Black Hearing Site: Raleigh, NC | | $88 |
| 22-00556 | 11/07/2022 | Claimant(s): Michael Patti Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Michael J. Ahlstrom Hearing Site: Raleigh, NC |