| 22-00502 | 10/24/2022 | Claimant(s): Carman Hicks
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard James Igou, Charles Robert Moore, S. M. Kernodle-Hodges
Hearing Site: Raleigh, NC
| | |
| 20-01201 | 09/01/2022 | Claimant(s): The Barbara M. Estay Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borelli
Arbitrator(s): Roger C. Benson, Alan E. Linden, Lynda Joyce Howell
Hearing Site: Raleigh, NC
|  | $468,126 |
| 21-02446 | 06/07/2022 | Claimant(s): Scott Keck
Claimant Lawyers(s): Aaron C. Hemmings
Respondent(s): MML Investors Services, MSI Financial Services., Metropolitan Life Insurance Company
Respondent Lawyers(s): Peter R. Pound
Arbitrator(s): Roger C. Benson, Charles Diederich Heidgerd, Karen A. West
Hearing Site: Raleigh, NC
| | Dismissed by Rule 12206 |
| 21-02909 | 05/20/2022 | Claimant(s): Kenneth Nelson
Claimant Lawyers(s): Brian Luther
Respondent(s): Cetera Advisors Llc
Respondent Lawyers(s): David Feldstein
Arbitrator(s): John Winslow Griesser
Hearing Site: Raleigh, NC
| | |
| 20-02797 | 03/14/2022 | Claimant(s): Kenneth Hill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
| | |
| 20-01900 | 11/04/2021 | Claimant(s): Joseph Serensits
Claimant Lawyers(s): Eric D. Edwards
Respondent(s): Firhan Choudhary, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Barbara Black, Michael E. Weddington, John Russell Barlow
Hearing Site: Raleigh, NC
| | Expungement |
| 19-03517 | 09/02/2021 | Claimant(s): Estes Rigsbee
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Andre LaBarbera, Richard Stoyeck, Titus Rockefeller
Respondent Lawyers(s): Andre Vincent LaBarbera, Richard Christopher Stoyeck
Arbitrator(s): Robert G. Bannon
Hearing Site: Raleigh, NC
| | $0 |
| 20-02795 | 07/30/2021 | Claimant(s): Garland Homes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard James Igou
Hearing Site: Raleigh, NC
| | |
| 20-02170 | 06/25/2021 | Claimant(s): Gregory Lee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Kenneth R. Starr
Hearing Site: Raleigh, NC
| | |
| 20-02187 | 03/24/2021 | Claimant(s): Donald Adkins
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
| | |
