| 14-03371 | 03/10/2016 | Claimant(s): John Chapman
Claimant Lawyers(s): Amy Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Patricia Ann Tracey, Mitchell M. Willoughby, John G. Shamp
Hearing Site: Columbia, SC
| | |
| 13-03014 | 11/10/2014 | Claimant(s): Larry Hamilton
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): John Russell Barlow, John G. Shamp, Jason Alexander Diamond
Hearing Site: Charlotte, NC
|  | $580,375 |
| 13-00328 | 08/13/2014 | Claimant(s): John Jeffords
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Tina Cundari
Arbitrator(s): Alan L. Berger, John E. Allison, John G. Shamp
Hearing Site: Columbia, SC
| | |
| 12-01645 | 07/29/2013 | Claimant(s): Charles Lowe
Claimant Lawyers(s): David W. Miller
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Sarah G. Anderson, Ronnie Edward Nichols, John G. Shamp
Hearing Site: Columbia, SC
| | Expungement |
| 11-00105 | 05/21/2012 | Claimant(s): Robin Hennessy, Robin Joan Hennessy IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Richard Megorden, IFG/Russell Advisors.
Respondent Lawyers(s): Marianne Johnston
Arbitrator(s): John Russell Barlow, Rudolph Andrew Bata, John G. Shamp
Hearing Site: Charlotte, NC
| | Expungement |
| 10-02055 | 04/27/2012 | Claimant(s): Ronald Phillips
Claimant Lawyers(s): Richard B Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Ralph S. Paden, John D. Mattingly, John G. Shamp
Hearing Site: Columbia, SC
| | Expungement |
| 08-04152 | 11/20/2009 | Claimant(s): Patricia Flanagan
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Patricia Ann Tracey, Thomas Lee Eubanks, John G. Shamp
Hearing Site: Columbia, SC
| | $185,000 |
