09-01924 | 05/04/2010 | Claimant(s): Paul Carey, Victoria Carey Claimant Lawyers(s): Andrew O. Whiteman Respondent(s): Genworth Financial Securities Corp. Respondent Lawyers(s): Matthew H. Hall Arbitrator(s): Zeb E. Barnhardt, Thomas C. Looney, Karen A. West Hearing Site: Raleigh, NC
| | $363,010 |
09-01591 | 04/07/2010 | Claimant(s): James Wortman Claimant Lawyers(s): Andrew O. Whiteman Respondent(s): Sovereign Advisers, Uvest Financial Services Group. Respondent Lawyers(s): Lisa L. Tharpe, Sara B. Davis Arbitrator(s): Zeb E. Barnhardt, William H. McCullough, Robert O. Belo Hearing Site: Raleigh, NC
| | $0 |
09-01382 | 02/23/2010 | Claimant(s): Jane Chang, Kwen-Jen Chang Claimant Lawyers(s): Andrew O Whiteman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Michael P. O'Mullan Arbitrator(s): Zeb E. Barnhardt, Lynne T. Albert, David H. Grubbs Hearing Site: Raleigh, NC
| | $108,750 |
07-03126 | 09/04/2009 | Claimant(s): Jerry Maye, Rita Maye Claimant Lawyers(s): Rita H. Maye Respondent(s): Mark Gandossy, Legacy Financial Services. Respondent Lawyers(s): Derek C. Anderson, Michael J. Ernst Arbitrator(s): Zeb E. Barnhardt, M. Bruce Adelberg, Robert S. Zuckerman Hearing Site: Charlotte, NC
| | Settlement |
06-04080 | 02/08/2008 | Claimant(s): Alexander Williams, Alma Finch, Berry Rover, Carlton Phillips, Curtis Barnes, Delie Anthony, Delores Perry, Dora Williams, Eddie Cooper, Excell Finch, Linda Durham, Mamie Cooper, Odell Knight, Rita Harris, Robert Beamon, Rokisha Simrel, Ruby Arrington, Ruth Beamon, Samuel Harrell, Shirley Davis, et al Claimant Lawyers(s): Howard B. Prossnitz Respondent(s): Investors Capital Corp. Respondent Lawyers(s): James A. McGovern Arbitrator(s): Zeb E. Barnhardt, Thomas C. Borthwick, Harold G. Koger Hearing Site: Raleigh, NC
| | $667,720 |