23-00946 | 06/04/2024 | Claimant(s): Jasmin Gentling, Peter Gentling Claimant Lawyers(s): John B Veach Respondent(s): John Wolf, Cornerstone Financial Planning Respondent Lawyers(s): Elizabeth L. Winters Arbitrator(s): Richard H. Potter, Charles L.A. Terreni, Silvia Maria Rossbach Rheinbolt Hearing Site: Charlotte, NC
| | $613,825 |
23-01028 | 04/04/2024 | Claimant(s): Scott Namowicz Claimant Lawyers(s): Bryan L. Tyson Respondent(s): Sallie LarsenL Financial Holdings Inc. Severance Respondent Lawyers(s): Roger Scruggs Arbitrator(s): Richard H. Potter, David M. Pierce, Daniel F. Piar Hearing Site: Charlotte, NC
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19-03523 | 11/02/2020 | Claimant(s): Joseph Roop Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Legg Mason Wood Walker, Wells Fargo Clearing Services, Kalos Capital., Banc of America Investment Services Inc. Respondent Lawyers(s): Alan M. Wolper, Demian J. Betz, Gretchen Klebasko, Sarah K. Yates Arbitrator(s): Richard H. Potter Hearing Site: Charlotte, NC
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19-00350 | 09/11/2020 | Claimant(s): Pam Matthews Claimant Lawyers(s): Scott L. Silver Respondent(s): Taylor Capital Management Inc. Respondent Lawyers(s): Preston Spears Arbitrator(s): Richard H. Potter, John Russell Barlow, Ronald Bruce Natalie Hearing Site: Charlotte, NC
| | $258,000 |
18-03960 | 11/12/2019 | Claimant(s): Catherine Baker Claimant Lawyers(s): D. Daxton White Respondent(s): Taylor Capital Management Inc. Respondent Lawyers(s): Preston Spears Arbitrator(s): Richard H. Potter, Michael J. Ahlstrom, John A. Baynes Hearing Site: Charlotte, NC
| | $228,384 |
18-01073 | 08/29/2019 | Claimant(s): Sean Stewart Claimant Lawyers(s): Steven G. Legum Respondent(s): Daniel Dvorznak, Nicholas Tsikitas, J.D. Nicholas & Associates. Respondent Lawyers(s): Irwin Weltz, James Dolan Arbitrator(s): Richard H. Potter, Susan L. Luck, Kenneth B. Orenbach Hearing Site: Charlotte, NC
| | Settlement |
15-02121 | 12/09/2016 | Claimant(s): Jose Fernandez, Marixa Hernandez Claimant Lawyers(s): Luis E. Minana, W. Scott Greco Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones Arbitrator(s): Richard H. Potter, James L. Warren, Matthew Stephen Duchesne Hearing Site: San Juan, PR
| | $391,476 |
15-01842 | 08/02/2016 | Claimant(s): Andrew Wilkinson Claimant Lawyers(s): Randall C. Place Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Richard H. Potter, Kenneth Hoffner, Dana Tait Sandlin Hearing Site: Charlotte, NC
| | $98,750 |
14-00515 | 07/28/2015 | Claimant(s): Jamesa Selleck Claimant Lawyers(s): Sara E. Hanley Respondent(s): Wells Fargo Advisors, Renita McDougal Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Richard H. Potter, Sanford S. Finder, Daniel Lee Tedrick Hearing Site: Charlotte, NC
| | Expungement |
13-00206 | 03/10/2014 | Claimant(s): Aseko. Claimant Lawyers(s): Michael P. Hindelang Respondent(s): Allen Curry, Synovus Securities. Respondent Lawyers(s): Kip Nesmith Arbitrator(s): Richard H. Potter, James F. Major, Robert A. Ames Hearing Site: Charlotte, NC
| | $77,190 |