| 13-01190 | 05/06/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd E. Ratner
Respondent(s): Christopher Spires, Michael Wilder
Respondent Lawyers(s): Christopher Thomas Spires, Michael Dustin Wilder
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Columbia, SC
| | |
| 12-02911 | 04/15/2014 | Claimant(s): Iride Champion
Claimant Lawyers(s): Gary Menzer
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Celeste A. Beron
Hearing Site: Columbia, SC
|  | $0 |
| 13-02373 | 03/31/2014 | Claimant(s): James E. Rice, Jr. and Trudy C. Rice
Claimant Lawyers(s): James E. Rice
Respondent(s): Apex Clearing Corporation, Investrade Discount Securities
Respondent Lawyers(s): Gina T. Bokios, Jonathan D. Neerman
Arbitrator(s): Joe E. Manuel
Hearing Site: Columbia, SC
| | $3,394 |
| 13-02402 | 03/05/2014 | Claimant(s): Douglas Mesimer
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Carroll Carson, Summit Brokerage Services.
Respondent Lawyers(s): Michael J. Lang
Arbitrator(s): Harold G. Koger
Hearing Site: Columbia, SC
| | $20,300 |
| 12-03836 | 02/20/2014 | Claimant(s): Rebecca Magee, William Magee
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): James C. Hoover
Hearing Site: Columbia, SC
| | Expungement |
| 12-02349 | 11/26/2013 | Claimant(s): J.W. Pickens, J.W. Pickens Jr., as Trustee U/W/O JW
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Charles L.A. Terreni, Walter J. Wylie, Lisa Bass Morris
Hearing Site: Columbia, SC
| | $1,307,920 |
| 12-01697 | 11/06/2013 | Claimant(s): First Command Financial Planning., First Command Financial Services., First Command Securities Corporation
Claimant Lawyers(s): Ethan H. Cohen, Steven W. Hamm
Respondent(s): Bradford WilsonL Financial LLC, James Agostini, Jeanine Bodie, Jeb Zoller, Patrick Burgess, Robert Paschal, Shelby Hill, Stephen Simmons, Davinci Financial Designs
Respondent Lawyers(s): Cory E. Manning, Elizabeth Ann Agostini, Justin M. Kata, Richard J. Morgan
Arbitrator(s): W. Wells Van Pelt, Charles L.A. Terreni, Donald John Andres
Hearing Site: Columbia, SC
| | |
| 12-04052 | 10/28/2013 | Claimant(s): Michael Didato
Claimant Lawyers(s): Michael R. DiDato
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Susan J. Buckley, James C. Hoover, Donald John Andres
Hearing Site: Columbia, SC
| | |
| 13-00803 | 10/10/2013 | Claimant(s): Cynthia Lowe IRA, W.E. Lowe II IRA, W.E. Lowe II & William P Lowe T.I.C
Claimant Lawyers(s): T. John Kirk
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Robert T. Allen
Hearing Site: Columbia, SC
| | $240 |
| 13-00696 | 09/12/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher Griesmeyer
Respondent(s): David Van Rensselaer
Respondent Lawyers(s): David Van Rensselaer
Arbitrator(s): John D. Mattingly
Hearing Site: Columbia, SC
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