| 10-01650 | 05/18/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Cecil Creasy
Respondent Lawyers(s): J. Anthony Penry
Arbitrator(s): Peter B. Vaden, Fred Kelner, Dwayne Thomas McKinley
Hearing Site: Raleigh, NC
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| 10-03926 | 04/12/2011 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Michael Lingner
Respondent Lawyers(s): Michael John Lingner
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
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| 09-06006 | 03/25/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): John Faircloth
Respondent Lawyers(s): John E. Faircloth
Arbitrator(s): William A. Collison, Donita M. King, Lester Neal Ellis
Hearing Site: Raleigh, NC
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| 10-00405 | 03/08/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Richard Cobb
Respondent Lawyers(s): Richard Cobb
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Raleigh, NC
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| 09-06146 | 11/17/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Sean Ruehl
Respondent Lawyers(s): Sean Ruehl
Arbitrator(s): Robert P. Porter, Caryl S. Bernstein, Karen J. Montgomery
Hearing Site: Raleigh, NC
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| 09-03959 | 08/05/2010 | Claimant(s): Phillip Sielatycki
Claimant Lawyers(s): Laura J Wetsch
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Diane C. Fischer
Arbitrator(s): Timothy J. Wright, Charles S. Clayton, Michael J. Pasquale
Hearing Site: Raleigh, NC
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| 08-01981 | 04/27/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Timothy Williams
Respondent Lawyers(s): Denise Smith Cline
Arbitrator(s): Lewis H. Kairys, John D. Robb, Jeffrey G. Swartz
Hearing Site: Raleigh, NC
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| 09-04965 | 02/23/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Ferguson
Respondent Lawyers(s): William Allen Ferguson
Arbitrator(s): Harold Engelman
Hearing Site: Raleigh, NC
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| 08-01644 | 08/21/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Richard Hobgood
Respondent Lawyers(s): Steven C. Lawrence
Arbitrator(s): James Edward Banks, Charles K. ReCorr, Michael James Childers
Hearing Site: Raleigh, NC
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| 08-00530 | 06/04/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Charles Griffin
Respondent Lawyers(s): Charles C. Griffin
Arbitrator(s): Michael Lloyd Weisel, Frank Samuel Perri, John E. Baynum
Hearing Site: Raleigh, NC
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