| 22-00904 | 11/03/2023 | Claimant(s): Pamela Snow, Terry Snow
Claimant Lawyers(s): Matt Wolper
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): C Marcus Harris, Frank V. Tutone, Alicia Mitchell-Mercer
Hearing Site: Charlotte, NC
|  | $0 |
| 20-04082 | 02/23/2022 | Claimant(s): Richard Boyer, Richard Boyer IRA
Claimant Lawyers(s): Richard Boyer
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Frank V. Tutone
Hearing Site: Charlotte, NC
| | $0 |
| 18-01527 | 11/12/2019 | Claimant(s): Jose F. Ortiz Vazquez IRA, Jose F. Ortiz Vazquez & Sandra M. Garcia
Claimant Lawyers(s): Eric Quetglas Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis
Arbitrator(s): David Edward Upton, Richard H. Porter, Frank V. Tutone
Hearing Site: San Juan, PR
| | $0 |
| 18-00474 | 05/14/2019 | Claimant(s): James Sigmon
Claimant Lawyers(s): John B. Veach
Respondent(s): Todd Beddard, T.R. Winston & Company
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Susan L. Luck, Frank V. Tutone, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | $99,663 |
| 16-01496 | 11/10/2017 | Claimant(s): Estate of Michael Williams
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jaimeson
Arbitrator(s): Tina E. Patterson, James Michael Belk, Frank V. Tutone
Hearing Site: Charlotte, NC
| | $600 |
| 12-02948 | 12/02/2013 | Claimant(s): John Hoots
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Camden R. Webb
Arbitrator(s): John Russell Barlow, Richard E. Miley, Frank V. Tutone
Hearing Site: Charlotte, NC
| | $27,000 |
| 10-05079 | 08/12/2013 | Claimant(s): Estate of Wilma S. Yount
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Stephen P. Hoffman, Thomas Doyle Blum, Frank V. Tutone
Hearing Site: Charlotte, NC
| | Expungement |
| 11-01967 | 04/26/2013 | Claimant(s): Marcia Ragsdale, The Mary M. Pollock Irrevocable Trust
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise M. Henry
Arbitrator(s): Henry Sanchez, William F. Julavits, Frank V. Tutone
Hearing Site: Charlotte, NC
| | Expungement |
| 09-05736 | 03/10/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Matthew Mall
Respondent(s): Clifford Watts
Respondent Lawyers(s): Matthew K. Rogers
Arbitrator(s): Richard H. Potter, Richard Timothy Curran, Frank V. Tutone
Hearing Site: Charlotte, NC
| | |
