| 11-01967 | 04/26/2013 | Claimant(s): Marcia Ragsdale, The Mary M. Pollock Irrevocable Trust
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise M. Henry
Arbitrator(s): Henry Sanchez, William F. Julavits, Frank V. Tutone
Hearing Site: Charlotte, NC
|  | Expungement |
| 12-00330 | 02/08/2013 | Claimant(s): David Parker
Claimant Lawyers(s): Gerald F. Smith
Respondent(s): First Citizens Securities Corporation
Respondent Lawyers(s): David W. Erb
Arbitrator(s): Bernadette F. Rasmussen, William F. Julavits, John E. Allison
Hearing Site: Columbia, SC
| | |
| 09-05394 | 06/30/2011 | Claimant(s): Ray Sherbert, MD and Kathryn J. Sherbert
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Wilson
Arbitrator(s): William F. Julavits, Michael E. Easterday, Walter J. Wylie
Hearing Site: Columbia, SC
| | $179,409 |
| 09-06846 | 10/15/2010 | Claimant(s): Jeffrey McMorrow
Claimant Lawyers(s): Jeffrey Paul McMorrow
Respondent(s): Banc of America Investment Services Inc., Ryan Tidwell
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): Glenn R. Oxner, James F. Major, William F. Julavits
Hearing Site: Columbia, SC
| | $0 |
