| 23-02624 | 07/01/2024 | Claimant(s): Sheree Gaines-Lawrence
Claimant Lawyers(s): Sheree Gaines-Lawrence
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Linda A. Allen, Theresa Joan Rosenberg, Arlene Simon Backman
Hearing Site: Charlotte, NC
| | |
| 23-02986 | 03/08/2024 | Claimant(s): Christopher Leak
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brandy Fernandez
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | |
| 23-01725 | 10/27/2023 | Claimant(s): Spencer Hyde
Claimant Lawyers(s): Spencer Roderick Hyde
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Atlanta, GA
|  | $435 |
| 22-01853 | 07/10/2023 | Claimant(s): Cathy Margoshes
Claimant Lawyers(s): Ryan N. Chae
Respondent(s): Chikezie Esiobu
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | Expungement |
| 22-02127 | 02/28/2023 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Jennifer R. Cox
Respondent(s): Timothy Phenecie
Respondent Lawyers(s): Timothy M. Phenecie
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | |
| 21-00534 | 03/16/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Richard Louis
Respondent Lawyers(s): Richard Pierre Louis
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Atlanta, GA
| | $0 |
| 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
| | |
| 13-00490 | 08/07/2014 | Claimant(s): Steven Brodsky, Whitney Brodsky
Claimant Lawyers(s): Steven Brodsky
Respondent(s): Robert Macaluso
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | Expungement |
| 13-02598 | 07/16/2014 | Claimant(s): Margaret Kinlaw, Tilden Kinlaw
Claimant Lawyers(s): H. Mitchell Baker
Respondent(s): LPL Financial LLC, James Granger
Respondent Lawyers(s): Melanie Black Dubis, Rick E. Graves
Arbitrator(s): Ina N. Otto, John Russell Barlow, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | Expungement |
| 11-02758 | 11/02/2012 | Claimant(s): Joseph Vollmer, Robert Vollmer, POA for J. Vollmer
Claimant Lawyers(s): Robert W. Vollmer, POA for J. Vollmer
Respondent(s): Wells Fargo Advisors, James Copley, Mark Vaughan, Thomas Tiner
Respondent Lawyers(s): Sara Soto, Scott A. Eichhorn
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | $0 |
