| 17-00487 | 11/29/2018 | Claimant(s): Joyce Livengood, Norman Livengood IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Harry G. Mason
Hearing Site: Raleigh, NC
|  | $0 |
| 17-01680 | 09/20/2018 | Claimant(s): Diana Needham
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Geoffrey Frazier, Timothy Lyle
Respondent Lawyers(s): Brian A. Carlis, Debra A. Jenks
Arbitrator(s): Leonard E. Benade, Muriel Desloovere, Michael J. Pasquale
Hearing Site: Raleigh, NC
| | Expungement |
| 18-00290 | 08/14/2018 | Claimant(s): Kenneth Hill
Claimant Lawyers(s): Eric Litow
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Leonard E. Benade
Hearing Site: Raleigh, NC
| | |
| 17-03370 | 07/05/2018 | Claimant(s): Richard Fisher
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Edward Jones
Respondent Lawyers(s): Joseph D'Elia
Arbitrator(s): Jack A. Helms
Hearing Site: Raleigh, NC
| | |
| 17-02285 | 05/15/2018 | Claimant(s): Frank Voli
Claimant Lawyers(s): Michael Bessette
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Muriel Desloovere
Hearing Site: Raleigh, NC
| | |
| 17-00352 | 05/14/2018 | Claimant(s): Clarence B. Mills 1991 Irrevocable Trust, William E. Mills 1991 Irrevocable Trust
Claimant Lawyers(s): Alan W. Duncan
Respondent(s): David Robinson, Wachovia Securities Financial Network, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Richard S. Zaifert, Michele Ann Ledo, Theodore Haynes
Hearing Site: Raleigh, NC
| | Expungement |
| 16-03523 | 03/21/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd Ratner
Respondent(s): Mark Anthony
Respondent Lawyers(s): Bryant Duke Paris III
Arbitrator(s): Fred Kelner, Margaret Elizabeth Gee, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | |
| 17-02695 | 02/22/2018 | Claimant(s): James Starling
Claimant Lawyers(s): James Ralph Starling
Respondent(s): Douglas Hornberger, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Michele Ann Ledo
Hearing Site: Raleigh, NC
| | $425 |
| 16-02540 | 02/20/2018 | Claimant(s): Charles Obryant
Claimant Lawyers(s): Mark A. Nebrig
Respondent(s): Stifel, Nicolaus & Companyorporated
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Wayne Parker, Robert G. Bannon, Christian Nathaniel Siewers
Hearing Site: Raleigh, NC
| | |
| 15-02117 | 12/19/2017 | Claimant(s): Cust IRA FBO Julia Dobbins Joyce, Cust IRA FBO Kaye C. Idol, Cust IRA FBO Steven Michael Joyce, Cust IRA FBO Walter Lane Idol Jr., Cust Rollover IRA FBO Paschal Dobbins, Steven Joyce and Julia Joyce JTTEN, Walter Idol Jr & Kaye Idol JTTEN
Claimant Lawyers(s): David Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Michael E. Weddington, Thomas Joseph Atkinson, Danny Lynn Ingram
Hearing Site: Raleigh, NC
| | $462,080 |
