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FINRA Awards for Mitchell M. Willoughby

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0337103/10/2016Claimant(s): John Chapman
Claimant Lawyers(s): Amy Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Patricia Ann Tracey, Mitchell M. Willoughby, John G. Shamp
Hearing Site: Columbia, SC
09-0107309/15/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Dean Matthews
Respondent Lawyers(s): Dean Sean Matthews
Arbitrator(s): Mitchell M. Willoughby
Hearing Site: Charlotte, NC
05-0361407/25/2008Claimant(s): Capital Investment Group.
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Mark Kyle
Respondent Lawyers(s): Mark D. Kyle
Arbitrator(s): Timothy J. Wright, Mitchell M. Willoughby, John D. Robb
Hearing Site: Raleigh, NC

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