| 20-00771 | 09/18/2020 | Claimant(s): Noel Swain
Claimant Lawyers(s): Brian Luther
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Gary E. Marcus
Hearing Site: Columbia, SC
| | |
| 19-00657 | 08/03/2020 | Claimant(s): Lawrence Mickle
Claimant Lawyers(s): Joshua A Katz
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Michael J. Ahlstrom, Christopher Cecil Lamb, Janice Helsley Blach
Hearing Site: Columbia, SC
| | |
| 20-00348 | 06/30/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Frank Mebane
Respondent Lawyers(s): Frank Noel Mebane
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
| | |
| 19-03527 | 06/26/2020 | Claimant(s): Eric Morris
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Scott & Stringfellow
Respondent Lawyers(s): Christina M. Hill
Arbitrator(s): Stuart K. Furman
Hearing Site: Columbia, SC
| | |
| 20-00090 | 06/08/2020 | Claimant(s): Christopher Mise
Claimant Lawyers(s): Brian Luther
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
| | |
| 19-02697 | 03/17/2020 | Claimant(s): Aaron Gore, David Monckton, Ronald Metcalf, Samuel Head
Claimant Lawyers(s): Bryce Benson
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Richard S. Zaifert, Harvey R. Linder, Brian Stafford
Hearing Site: Columbia, SC
| | |
| 19-02064 | 02/10/2020 | Claimant(s): Paul Baily
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Richard S. Zaifert
Hearing Site: Columbia, SC
| | |
| 18-00351 | 01/23/2020 | Claimant(s): Samuel Adams
Claimant Lawyers(s): David E Rothstein
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ashley Kutz Kelly
Arbitrator(s): Gregory D. Hoffmann, Patricia Ann Tracey, Bruce W. Bennett
Hearing Site: Columbia, SC
| | |
| 17-02422 | 01/14/2020 | Claimant(s): Delores Trupiano, Philip Trupiano, Delores R. Trupiano Rev. Trust, Philip J. Trupiano Rev. Trust
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Beth Debouvre, Christopher Gammon, Kim Kopacka, Timothy Kopacka, IMS Securities.
Respondent Lawyers(s): Beth Ann Debouvre, Jackie Wadsworth, Joseph Suarez, Kim Kahala Kopacka, Timothy James Kopacka
Arbitrator(s): Robert H. Putnam, Harvey R. Linder, Harry G. Mason
Hearing Site: Columbia, SC
|  | $0 |
| 18-03763 | 01/09/2020 | Claimant(s): Lauren Flynn
Claimant Lawyers(s): Lauren Terri Flynn
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Steven Mellen
Arbitrator(s): Ian S. Greig, James A. Hayes, Mauricio Arcadier
Hearing Site: Columbia, SC
| | Dismissed by Rule 12212(c) |
