| 20-01106 | 03/15/2021 | Claimant(s): Joseph Williams
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): M. Todd Sullivan
Arbitrator(s): Michael E. Weddington, Michael J. Pasquale, Charles Robert Moore
Hearing Site: Raleigh, NC
| | |
| 20-02431 | 02/09/2021 | Claimant(s): Renuka Tummala
Claimant Lawyers(s): Renuka Tummala
Respondent(s): Robinhood Financial
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Harvey R. Linder
Hearing Site: Raleigh, NC
|  | $300 |
| 19-03402 | 05/29/2020 | Claimant(s): Robert Blakely
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Gavin F. Quill
Arbitrator(s): John P. Cullem, Charles K. ReCorr, Joseph A Newcomb
Hearing Site: Raleigh, NC
| | |
| 19-02740 | 03/17/2020 | Claimant(s): Don Rudolph
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, UVEST Financial Services Group.
Respondent Lawyers(s): Corporate Officer, Sara B. Davis
Arbitrator(s): Harvey R. Linder
Hearing Site: Raleigh, NC
| | |
| 19-00796 | 03/10/2020 | Claimant(s): Charlene Robson, David Robson
Claimant Lawyers(s): Pamela S Duffy
Respondent(s): David Specht, Leslie Hankinson, Fidelity Brokerage Services LLC, Strategic Advisers
Respondent Lawyers(s): Nioah D. Sorkin
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
| | $34,125 |
| 19-01032 | 03/05/2020 | Claimant(s): Nicole Robertson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Josef Rosen
Arbitrator(s): John P. Cullem
Hearing Site: Raleigh, NC
| | |
| 19-00050 | 02/27/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas K. Potter
Respondent(s): Walter Taylor
Respondent Lawyers(s): Walter G. Taylor
Arbitrator(s): John P. Cullem
Hearing Site: Raleigh, NC
| | |
| 19-00574 | 01/06/2020 | Claimant(s): David Mehler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
| | |
| 18-02022 | 12/26/2019 | Claimant(s): John Seltzer
Claimant Lawyers(s): Bruce Sanders
Respondent(s): Edwin Bartlett, Merrill Lynch Pierce Fenner & Smith Inc., Ryan Marchi
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Harry G. Mason
Hearing Site: Raleigh, NC
| | $0 |
| 18-03766 | 11/08/2019 | Claimant(s): John Kline
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc., Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill Clarke, Jonathan C. Schwartz
Arbitrator(s): Margaret Elizabeth Gee
Hearing Site: Raleigh, NC
| | |
