| 22-01195 | 08/30/2023 | Claimant(s): James Fayssoux, Sr.
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): SW Financial
Respondent Lawyers(s): Axos Clearing
Arbitrator(s): Roger C. Benson, Bernadette F. Rasmussen, William Finley Hamel
Hearing Site: Columbia, SC
|  | $3,193,550 |
| 22-01395 | 12/02/2022 | Claimant(s): Samuel Head
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Harvey R. Linder, Christopher Cecil Lamb, Larry Kenneth Lott
Hearing Site: Columbia, SC
| | |
| 20-02368 | 11/08/2022 | Claimant(s): Helen Shelly, Jerry Shelly
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Lawyers(s): Greg Curley, Peter B. King
Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Bernadette F. Rasmussen
Hearing Site: Columbia, SC
| | Expungement |
| 22-00552 | 08/17/2022 | Claimant(s): Seth Mason
Claimant Lawyers(s): Seth Mason
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
| | settlement |
| 21-02401 | 08/16/2022 | Claimant(s): Jimmy Woollen, Stephanie Woollen
Claimant Lawyers(s): Amy L.B. Hill
Respondent(s): Andrew Hall, Cindy Chiellini, Ricky Mantei, Centaurus Financial., J.P. Turner & Company
Respondent Lawyers(s): James C. Cosby, Jonathan Cole, Steven E. Mellen
Arbitrator(s): Mimi B. Osiason, Christopher Cecil Lamb, John G. Shamp
Hearing Site: Columbia, SC
| | Expungement |
| 20-03747 | 07/13/2022 | Claimant(s): George McCutchen
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): F. John Herrmann, Barbara Black, Theodore Haynes
Hearing Site: Columbia, SC
| | |
| 21-02797 | 05/24/2022 | Claimant(s): Justin Cramer
Claimant Lawyers(s): Brian Luther
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Langfred W. White, William Alexander Despo, Charles L.A. Terreni
Hearing Site: Columbia, SC
| | |
| 21-01746 | 02/25/2022 | Claimant(s): William Paschal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones, A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolf, Jonathan W. Hackbarth
Arbitrator(s): Theodore Haynes
Hearing Site: Columbia, SC
| | |
| 20-03859 | 02/11/2022 | Claimant(s): Charles Brown, Charles Brown Declaration of Trust
Claimant Lawyers(s): Nate Fata
Respondent(s): Andrew Gordon, Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Joe E. Manuel, Kenneth R. Starr, Gary E. Marcus
Hearing Site: Columbia, SC
| | $273,088 |
| 21-01500 | 01/28/2022 | Claimant(s): James Charbonneau
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Investment Center.
Respondent Lawyers(s): Douglas A. Wright
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
| | |
