| 13-02416 | 05/08/2014 | Claimant(s): Lynn Royal
Claimant Lawyers(s): Lynn Royal
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy
Arbitrator(s): Peter M. Saparoff
Hearing Site: Boston, MA
|  | $0 |
| 13-01930 | 12/11/2013 | Claimant(s): Carl Cooper, Donna Cooper
Claimant Lawyers(s): Donna M. Cooper
Respondent(s): Monica Narvaez, Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | $15,437 |
| 09-05718 | 08/20/2013 | Claimant(s): Patrick Kennedy
Claimant Lawyers(s): Patrick Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Samuel H. Chorches, Francis J. Pavetti, April C. Teveris
Hearing Site: Hartford, CT
| | $0 |
| 10-04000 | 06/10/2011 | Claimant(s): Irvin Robbins Rev Trust U/A/D 9/16/91
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A McGovern
Arbitrator(s): Cindy L. Anderson
Hearing Site: Jacksonville, FL
| | $31,053 |
| 09-06085 | 10/20/2010 | Claimant(s): Dushaune Evans
Claimant Lawyers(s): Brian C. Parker
Respondent(s): Frederick Judkins, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Janet Stern Solomon
Hearing Site: Washington, DC
| | $60,000 |
| 09-03921 | 05/04/2010 | Claimant(s): Mike Zack
Claimant Lawyers(s): Mike Zack
Respondent(s): James Fonseca, Investors Capital Corp.
Respondent Lawyers(s): James L. Fonseca, Rebecca S. Hice
Arbitrator(s): Larry Edmonson
Hearing Site: Los Angeles, CA
| | $3,631 |
| 09-01242 | 09/01/2009 | Claimant(s): Edward Gaul
Claimant Lawyers(s): Edward Gaul
Respondent(s): Bruce Balkcom, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Stanley H. Labinger
Hearing Site: Providence, RI
| | $12,713 |
| 08-01853 | 12/31/2008 | Claimant(s): Morton & Edith Kimmel Rev. Living Trust
Claimant Lawyers(s): Morton Kimmel
Respondent(s): Kenneth Saunders, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Donald J. Spero
Hearing Site: Boca Raton, FL
| | $213 |
| 07-02986 | 06/10/2008 | Claimant(s): James Bynum
Claimant Lawyers(s): James Bynum
Respondent(s): Joseph Jones, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern, Joseph Lionel Jones
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
| 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 |
