| 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 |
| 06-04445 | 02/14/2008 | Claimant(s): American Municipal Securities.
Claimant Lawyers(s): Robert Persante
Respondent(s): Gregg Hollidge, John A. and Drewry Mitchell
Respondent Lawyers(s): Michael T. Medford, Robert Persante
Arbitrator(s): Lynne T. Albert, George Steven Moore, Karen A. West
Hearing Site: Raleigh, NC
| | $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 |
| 06-03931 | 02/06/2008 | Claimant(s): Patricia Murphy
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Chintaman Dalvi, James Patten, Empire Financial Group., Greater Metropolitan Investment Serv., T.R. Winston & Company
Respondent Lawyers(s): Eden L. Rohrer, James Patten, Richard C. Szuch, Sheryl M. Goski, Todd Zuckerbrod
Arbitrator(s): Leon Henderson, Donald Cornelius Morrison, Alan L. Berger
Hearing Site: Raleigh, NC
| | $1,165,800 |
| 07-00873 | 11/23/2007 | Claimant(s): Gloria Yarborough
Claimant Lawyers(s): Gloria Jean Yarborough
Respondent(s): Lyle Finley, Suntrust Investment Services.
Respondent Lawyers(s): Carrie Anne Orlikowski
Arbitrator(s): Thomas W. Steed
Hearing Site: Raleigh, NC
| | $0 |
| 07-01607 | 11/07/2007 | Claimant(s): Arena Capital Advisors
Claimant Lawyers(s): David Bass
Respondent(s): CopperRoad Corporation
Respondent Lawyers(s): Reginald Sanders Bruce
Arbitrator(s): Thomas W. Steed
Hearing Site: Raleigh, NC
| | $0 |
| 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 |
