| 10-05238 | 12/06/2011 | Claimant(s): William P. Hunter and Susan S. Hunter
Claimant Lawyers(s): Marlon J. Howard
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy S. Baird
Arbitrator(s): Janice L. Burnham, John D. Robb, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
|  | $0 |
| 10-04531 | 12/05/2011 | Claimant(s): Barry Jones
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Wayne Parker, Patricia Ann Tracey, Michael F. Pearl
Hearing Site: Raleigh, NC
| | Expungement |
| 11-00139 | 11/21/2011 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Bradlee Hager
Respondent Lawyers(s): Bradlee P. Hager
Arbitrator(s): Peter B. Vaden
Hearing Site: Raleigh, NC
| | |
| 10-04444 | 10/04/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Elliott Moskowitz
Respondent Lawyers(s): Michael G. Donovan
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Raleigh, NC
| | |
| 10-03018 | 09/26/2011 | Claimant(s): M. Gill
Claimant Lawyers(s): William B.L. Little
Respondent(s): SunTrust Investment Services., Deborah Turnley, Jerry Smith
Respondent Lawyers(s): Erica T. Meyers
Arbitrator(s): Sharon A. McCloskey
Hearing Site: Raleigh, NC
| | Expungement |
| 10-01604 | 09/06/2011 | Claimant(s): Connie Hage
Claimant Lawyers(s): Steve Virgil
Respondent(s): Larry James, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea M. Greene, Kathryn L. Dietrich
Arbitrator(s): Carl F. Bowmer
Hearing Site: Raleigh, NC
| | $0 |
| 11-00102 | 08/02/2011 | Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): Randall Simpson
Respondent Lawyers(s): Randall Simpson
Arbitrator(s): Robert P. Porter
Hearing Site: Raleigh, NC
| | |
| 10-01142 | 06/24/2011 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Adelino Cerveira
Respondent Lawyers(s): Adelino Cerveira
Arbitrator(s): Robert P. Porter
Hearing Site: Raleigh, NC
| | $0 |
| 09-07149 | 05/23/2011 | Claimant(s): Caroline Dufrin
Claimant Lawyers(s): Christopher Mader
Respondent(s): Charles Snider, Allstate Financial Services
Respondent Lawyers(s): Samantha Tesser Haimo, Stuart H. Russell
Arbitrator(s): Lynne T. Albert, Michael F. Pearl, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
| 10-02651 | 05/19/2011 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David Markun
Respondent(s): Robert Shigley
Respondent Lawyers(s): Robert P. Shigley
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | |
