| 08-00376 | 02/13/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Martin Hensley
Respondent Lawyers(s): Martin D. Hensley
Arbitrator(s): Jack C. Aycock, Harold Engelman, David P. McDuffee
Hearing Site: Raleigh, NC
| | |
| 08-00377 | 10/22/2008 | Claimant(s): Michael Preston
Claimant Lawyers(s): Michael J. Preston
Respondent(s): David Bass, Arena Capital Advisors
Respondent Lawyers(s): David Bass
Arbitrator(s): Thomas C. Looney, Michael Lloyd Weisel, John D. Robb
Hearing Site: Raleigh, NC
| | |
| 05-03614 | 07/25/2008 | Claimant(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
| | |
| 07-01618 | 05/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ryan P. Smith
Respondent(s): Roderick Brown
Respondent Lawyers(s): Roderick L. Brown
Arbitrator(s): Daniel W. Desmond, Linda A. Allen, David P. McDuffee
Hearing Site: Raleigh, NC
| | |
| 06-05400 | 02/22/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Rivenbark
Respondent Lawyers(s): Eric Ryan Rivenbark
Arbitrator(s): Timothy J. Wright, Michael Lloyd Weisel, Michael F. Pearl
Hearing Site: Raleigh, NC
| | |
| 07-00812 | 11/01/2007 | Claimant(s): John Amon
Claimant Lawyers(s): John I. Amon
Respondent(s): Tom Moriarty, Vic Hobson, Intersecurities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Thomas W. Steed, Wayne Parker, William A. Collison
Hearing Site: Raleigh, NC
| | |
| 07-00621 | 09/28/2007 | Claimant(s): La Salle St. Securities, L.L.C.
Claimant Lawyers(s): Stephen B. Diamond
Respondent(s): Morris Weisner
Respondent Lawyers(s): Morris C. Weisner
Arbitrator(s): Anne W. Larkin
Hearing Site: Raleigh, NC
| | |
| 06-04542 | 08/22/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Jason Wands
Respondent Lawyers(s): Jason A. Wands
Arbitrator(s): William W. Marchant, Frank Samuel Perri, John E. Baynum
Hearing Site: Raleigh, NC
| | |
