| 17-01039 | 10/24/2017 | Claimant(s): Manish Mehta
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): John P. Cullem
Hearing Site: Raleigh, NC
| | |
| 17-00608 | 08/03/2017 | Claimant(s): Andrew Gentiluomo
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Thomas B. Corey, Edith N. Dinneen, Charles Robert Moore
Hearing Site: Raleigh, NC
| | |
| 17-00196 | 06/29/2017 | Claimant(s): Brian Burke, Sandra Burke
Claimant Lawyers(s): Horace M. Baker
Respondent(s): John Thomas
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Robert G. Bannon
Hearing Site: Raleigh, NC
|  | $0 |
| 15-02033 | 04/25/2017 | Claimant(s): Steven Hedrick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Robert H. Putnam, Michael E. Weddington
Hearing Site: Raleigh, NC
| | Expungement |
| 14-02887 | 03/24/2017 | Claimant(s): Sarah Harmon
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Robert T. Allen
Hearing Site: Raleigh, NC
| | $0 |
| 15-03176 | 01/06/2017 | Claimant(s): Barbara Lattanze, Robert Lattanze
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Catherine Mewborn, Sterne Agee Financial Services.
Respondent Lawyers(s): J. Anthony Penry, Peter S. Fruin
Arbitrator(s): Gayle B. Carlson
Hearing Site: Raleigh, NC
| | $6,593 |
| 15-01640 | 12/06/2016 | Claimant(s): Bonnie Shepherd, Holton Shepherd, Robert Young, 109 U Pull It. Robert C. Young, Holton & Bonnie Shepherd
Claimant Lawyers(s): Patricia L. Vannoy, Ryon M. McCabe
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Richard S. Zaifert, Lynne T. Albert, Richard James Igou
Hearing Site: Raleigh, NC
| | $119,177 |
| 15-02862 | 10/25/2016 | Claimant(s): Joyce Gorham-Worsley
Claimant Lawyers(s): Joyce Gorham-Worsley
Respondent(s): Alonza Barnett, Institutional Capital Management.
Respondent Lawyers(s): Alonza Barnett, Douglas Yauger
Arbitrator(s): Karen A. West
Hearing Site: Raleigh, NC
| | $0 |
| 16-00229 | 10/13/2016 | Claimant(s): Hagar Jackson
Claimant Lawyers(s): Robert D Rouse
Respondent(s): John Matta, Edward Jones
Respondent Lawyers(s): Robert J. Osdieck
Arbitrator(s): Leonard E. Benade
Hearing Site: Raleigh, NC
| | $8,718 |
| 16-00683 | 08/09/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Demian J. Betz
Respondent(s): Jeffrey Cappello
Respondent Lawyers(s): Jeffrey Mark Cappello
Arbitrator(s): Jack A. Helms
Hearing Site: Raleigh, NC
| | |
