| 22-00081 | 10/17/2022 | Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
|  | Expungement |
| 18-01147 | 10/10/2019 | Claimant(s): Virginia Transfomer., Prabhat Jain, Santosh Jain
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Elliot B. Platt, Donita M. King, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 14-02206 | 10/02/2015 | Claimant(s): Andrew Alexander, Plantations at Haywood 5, TIC Hunters Chase 18
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Sean M. Golden
Arbitrator(s): Robert S. Zuckerman, Donita M. King, Overman Randolph Rollins
Hearing Site: Norfolk, VA
| | Dismissed by Rule 12206 |
| 12-02802 | 07/28/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): John McLean
Respondent Lawyers(s): John A. McLean
Arbitrator(s): Clarence Jordan Ball, Donita M. King, JoAnne Lewis Nolte
Hearing Site: Richmond, VA
| | |
| 13-01847 | 07/02/2014 | Claimant(s): Esther Huie, Richard Huie
Claimant Lawyers(s): W. Edgar Spivey
Respondent(s): Mark Harrop, Investors Capital Corp.
Respondent Lawyers(s): Thomas G. Nicholson
Arbitrator(s): Henry G. Plaster, Donita M. King, Ross E. Legum
Hearing Site: Norfolk, VA
| | $36,000 |
| 13-03082 | 05/14/2014 | Claimant(s): United Brokerage Services
Claimant Lawyers(s): Rose L. Wilson
Respondent(s): John Pickens
Respondent Lawyers(s): John Morgan Pickens
Arbitrator(s): Donita M. King
Hearing Site: Charleston, WV
| | |
| 13-02012 | 01/07/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Walter Bernard
Respondent Lawyers(s): Walter Jeffrey Bernard
Arbitrator(s): Donita M. King
Hearing Site: Raleigh, NC
| | |
| 11-02203 | 08/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): David Capps
Respondent Lawyers(s): Paul G. Beers
Arbitrator(s): Clarence Jordan Ball, Stuart H. Dunn, Donita M. King
Hearing Site: Richmond, VA
| | |
| 10-01652 | 06/20/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): James Godsey
Respondent Lawyers(s): Gary C. Byler
Arbitrator(s): C. Gregory Ellison, Michael E. Scullin, Donita M. King
Hearing Site: Norfolk, VA
| | |
| 09-06006 | 03/25/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): John Faircloth
Respondent Lawyers(s): John E. Faircloth
Arbitrator(s): William A. Collison, Donita M. King, Lester Neal Ellis
Hearing Site: Raleigh, NC
| | |
