| 11-02747 | 05/21/2013 | Claimant(s): Timothy Gautney, Aura Asset Management., Aura Financial Services.
Claimant Lawyers(s): John G Dana
Respondent(s): James Webb, Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb, Ronald M. Amato
Arbitrator(s): Lita S Menkin, Cherie J. Jolly, Charles M. Thompson
Hearing Site: Birmingham, AL
| | |
| 11-04310 | 05/21/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Thomas Moore
Respondent Lawyers(s): Thomas Chapley Moore
Arbitrator(s): Stephen P. Hoffman, Charles Sydnor Thompson, David M. Finkel
Hearing Site: Charlotte, NC
| | |
| 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 |
| 08-04641 | 02/05/2010 | Claimant(s): Howard Schultz, Estate of Merle C. Schultz
Claimant Lawyers(s): Robert R. Riley
Respondent(s): Andrew Petrofsky, Norman Berk, Professional Asset Strategies
Respondent Lawyers(s): Lee R. Benton, Marion F. Walker
Arbitrator(s): John G. Manley, Charles M. Thompson, Lane A. Fentriss
Hearing Site: Birmingham, AL
| | $478,908 |
