| 11-02035 | 11/28/2012 | Claimant(s): Phillip Sherrill
Claimant Lawyers(s): John B. Veach
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Craig Kuglar
Arbitrator(s): John H. Griffing, Stephen P. Hoffman, Daphne Tippens Chisolm
Hearing Site: Charlotte, NC
|  | $283,862 |
| 10-05057 | 06/17/2011 | Claimant(s): George Froyd
Claimant Lawyers(s): John F Hanzel
Respondent(s): Brian Sohovich, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
| | $1,163 |
| 09-05107 | 03/15/2011 | Claimant(s): David Ferraro
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Deutsche Bank Securities., Gregory Planck
Respondent Lawyers(s): Donald N. Cohen
Arbitrator(s): Sidney L. Sussman, Lynne T. Albert, John H. Griffing
Hearing Site: Charlotte, NC
| | Expungement |
| 09-03008 | 05/05/2010 | Claimant(s): MIchelle L. Lakeson, William B. Lakeson, Jr.
Claimant Lawyers(s): Fred W DeVore
Respondent(s): Dominique Vercaemert
Respondent Lawyers(s): Andrew Dorman
Arbitrator(s): W. Wells Van Pelt, John H. Griffing, Richard E. Miley
Hearing Site: Charlotte, NC
| | $43,500 |
| 09-02203 | 03/17/2010 | Claimant(s): Charlotte Domiter
Claimant Lawyers(s): John F. Hanzel
Respondent(s): Melissa Carlson, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
| | $500 |
| 08-04933 | 12/21/2009 | Claimant(s): James P. Dancy
Claimant Lawyers(s): Kristin S. Nardone
Respondent(s): Jason Swink, Money Concepts Capital Corp
Respondent Lawyers(s): George H. Pender
Arbitrator(s): John H. Griffing, Richard E. Miley, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | $80,179 |
| 07-02092 | 01/22/2008 | Claimant(s): Gary Fitzer
Claimant Lawyers(s): Gary A. Fitzer
Respondent(s): A. Burch, J. Corpal, J. Goode, L. Ermel, M. Kudlik, R. Gee, T. Snodgrass, W. Candler, ARI Financial Services., Burch & Company.
Respondent Lawyers(s): Christina Birgensmith, Tucker H. Byrd
Arbitrator(s): John H. Griffing, Patricia Ann Tracey, John E. Baynum
Hearing Site: Charlotte, NC
| | |
| 06-03017 | 11/19/2007 | Claimant(s): Conard Moose
Claimant Lawyers(s): John F. Hanzel
Respondent(s): Dennis ShidlerL fka Linsco/Private Ledger Corp.
Respondent Lawyers(s): Daniel R. D'Alberto, David J. Freniere
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
| | $23,500 |
