| 09-06754 | 11/19/2010 | Claimant(s): James Populorum
Claimant Lawyers(s): James Richard Populorum
Respondent(s): Janice Hallett, The Tidal Group
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): David P. McDuffee, Charles Sydnor Thompson, Lester Neal Ellis
Hearing Site: Raleigh, NC
|  | $0 |
| 09-04459 | 11/09/2010 | Claimant(s): Lisa Craig, Mathew Craig
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Lynne T. Albert, David P. McDuffee, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
| 09-01425 | 03/23/2010 | Claimant(s): Earl Smith
Claimant Lawyers(s): John C. Randall
Respondent(s): Brian Fehr, Donna Givner, TD Ameritrade.
Respondent Lawyers(s): Amanda G. Ray
Arbitrator(s): Leonard E. Benade, Robert P. Porter, David P. McDuffee
Hearing Site: Raleigh, NC
| | $0 |
| 08-02486 | 02/03/2010 | Claimant(s): Clifford D. Spikes and Nancy P. Spikes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth Rose Aylett
Arbitrator(s): David P. McDuffee, Patricia Ann Tracey, Frank H. Livingston
Hearing Site: Raleigh, NC
| | $300 |
| 07-01870 | 10/09/2008 | Claimant(s): Joan Skrzycki, Robert Skrzycki
Claimant Lawyers(s): Daniel R. Flebotte
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert T. Allen, David P. McDuffee, George W. McKellar
Hearing Site: Raleigh, NC
| | $0 |
| 06-04110 | 03/19/2008 | Claimant(s): Anna Anderson, Antonio McNeil, Carlton Phillips, George Boddie, Joe Ricks, Joyce Houston, Linda Eley, Ruth Beamon, Ruth Boone, Vertellar Clark, Wilbert Battle
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): David P. McDuffee, Karen J. Montgomery, Karen E. Sapp
Hearing Site: Raleigh, NC
| | $329,242 |
| 06-02921 | 09/24/2007 | Claimant(s): Jennifer Smith
Claimant Lawyers(s): Hans H. Huang
Respondent(s): Chris Suarez, Ryan Ku, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Ryan H. Ku
Arbitrator(s): John R. Canada, Leonard E. Benade, David P. McDuffee
Hearing Site: Raleigh, NC
| | Settlement |
