| 13-03401 | 08/08/2016 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Louis Dworsky
Respondent Lawyers(s): Brandon S. Neuman
Arbitrator(s): Stephen P. Hoffman, Donald Cornelius Morrison, Charles S. Clayton
Hearing Site: Raleigh, NC
| | |
| 14-03574 | 05/20/2016 | Claimant(s): Elizabeth Stancil
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): First Citizens Investor Services.
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Robert P. Porter, Michael F. Pearl, Joseph A Newcomb
Hearing Site: Raleigh, NC
| | |
| 14-02268 | 03/09/2016 | Claimant(s): Charles Dyer
Claimant Lawyers(s): Robert G. McIver
Respondent(s): James Brown, Kirk Smith, Raymond James Financial Services.
Respondent Lawyers(s): Kenneth W. McAllister, Robert M. Rudnicki
Arbitrator(s): Charles S. Clayton, Richard E. Miley, Stephen Gregg Ellis
Hearing Site: Raleigh, NC
| | |
| 13-02697 | 03/03/2016 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Jeremy Wooden
Respondent(s): Kyle Hoffman
Respondent Lawyers(s): Martin Q. Ryan
Arbitrator(s): Michael E. Weddington
Hearing Site: Raleigh, NC
| | |
| 13-03258 | 09/09/2015 | Claimant(s): Arthur Keith Burch and Lea Burch, JTWROS
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): Gerald L. Fingerhut, John Russell Barlow, David Lawrence Rowe
Hearing Site: Raleigh, NC
|  | Expungement |
| 12-03409 | 06/04/2015 | Claimant(s): Faye Smith, J.O. Godwin, Joseph Smith, June Collier, Lee Roy Collier, Estate of Erma Bowen
Claimant Lawyers(s): Brandon S. Neuman, C. Battles
Respondent(s): Hugh Dyson
Respondent Lawyers(s): Hugh Monroe Dyson
Arbitrator(s): Karen A. West, Thomas W. Allen, David Josephsohn
Hearing Site: Raleigh, NC
| | $437,500 |
| 14-00001 | 02/26/2015 | Claimant(s): Steven Carlson
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Melanie Black Dubis
Arbitrator(s): Leonard E. Benade, Fred Kelner, Lynda Joyce Howell
Hearing Site: Raleigh, NC
| | |
| 14-01606 | 12/29/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Jay H. Mintz IRA Rollover, Jay H. Mintz Revocable Trust
Respondent Lawyers(s): William Young
Arbitrator(s): Leonard E. Benade, Timothy J. Wright, Lynne T. Albert
Hearing Site: Raleigh, NC
| | Expungement |
| 14-01579 | 12/23/2014 | Claimant(s): Jonathan Phillips
Claimant Lawyers(s): Gilbert C. Laite
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Lynne T. Albert, Michael J. Henke, Stephen Gregg Ellis
Hearing Site: Raleigh, NC
| | |
| 14-00723 | 10/28/2014 | Claimant(s): Joseph Bonfiglio, Sarah Bonfiglio
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): John Russell Barlow
Hearing Site: Raleigh, NC
| | $0 |
