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FINRA Awards for Arena Capital Advisors

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0037710/22/2008Claimant(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
07-0160711/07/2007Claimant(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
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