| 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 |
| 09-04157 | 04/06/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sidney L. Sussman, David P. McDuffee, Thomas Doyle Blum
Hearing Site: Charlotte, NC
| | |
| 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 |
| 08-00376 | 02/13/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Martin Hensley
Respondent Lawyers(s): Martin D. Hensley
Arbitrator(s): Jack C. Aycock, Harold Engelman, David P. McDuffee
Hearing Site: Raleigh, NC
| | |
| 07-02484 | 12/18/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Stephan Day
Respondent Lawyers(s): Stephan T. Day
Arbitrator(s): Sidney L. Sussman, David P. McDuffee, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | |
| 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 |
| 07-01618 | 05/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ryan P. Smith
Respondent(s): Roderick Brown
Respondent Lawyers(s): Roderick L. Brown
Arbitrator(s): Daniel W. Desmond, Linda A. Allen, David P. McDuffee
Hearing Site: Raleigh, NC
| | |
| 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 |
