| 13-00019 | 07/16/2014 | Claimant(s): Michael Fertich
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Sean M. Golden
Arbitrator(s): Douglas Earl McLaren, John D. Robb, Carl F. Bowmer
Hearing Site: Richmond, VA
|  | Dismissed by Rule 12206 |
| 10-01463 | 05/10/2012 | Claimant(s): Barbara Wren, Robert Wren, Wren and Wren Trust UAD 2/30/06
Claimant Lawyers(s): Andrew Park
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Donald B. Vaden, Beverly F. Druitt, John D. Robb
Hearing Site: Richmond, VA
| | $307,778 |
| 10-05238 | 12/06/2011 | Claimant(s): William P. Hunter and Susan S. Hunter
Claimant Lawyers(s): Marlon J. Howard
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy S. Baird
Arbitrator(s): Janice L. Burnham, John D. Robb, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
| 10-00819 | 12/29/2010 | Claimant(s): Franklin Trice, Julia Gibbs
Claimant Lawyers(s): John E. Davidson
Respondent(s): John Pasco, Commonwealth Capital Management, Commonwealth Shareholder Services., First Dominion Capital Corp.
Respondent Lawyers(s): Robert M. Goldich, Steven M. Felsenstein
Arbitrator(s): Donald B. Vaden, James A. Cummings, John D. Robb
Hearing Site: Richmond, VA
| | |
| 08-01981 | 04/27/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Timothy Williams
Respondent Lawyers(s): Denise Smith Cline
Arbitrator(s): Lewis H. Kairys, John D. Robb, Jeffrey G. Swartz
Hearing Site: Raleigh, NC
| | |
| 08-00377 | 10/22/2008 | Claimant(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
| | |
| 05-03614 | 07/25/2008 | Claimant(s): Capital Investment Group.
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Mark Kyle
Respondent Lawyers(s): Mark D. Kyle
Arbitrator(s): Timothy J. Wright, Mitchell M. Willoughby, John D. Robb
Hearing Site: Raleigh, NC
| | |
| 05-05660 | 02/19/2008 | Claimant(s): AIG Financial Advisors.
Claimant Lawyers(s): Abby Henig
Respondent(s): Allen Darby
Respondent Lawyers(s): John F. Hanzel
Arbitrator(s): David P. McDuffee, John D. Robb, Michael C. Wittenberg, CPF, CLU, ChFC
Hearing Site: Charlotte, NC
| | |
| 06-01589 | 01/08/2008 | Claimant(s): Timothy Martin
Claimant Lawyers(s): Timothy Martin
Respondent(s): Scott & Stringfellow
Respondent Lawyers(s): David E. Constine
Arbitrator(s): Francis M. Hall, John D. Robb, John Kevin Williams
Hearing Site: Richmond, VA
| | |
| 05-04639 | 12/21/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): William W. Allen
Respondent(s): David Pennington, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Davidson, Russell Sayre
Arbitrator(s): Amelia F. Adams, Carolyn K. Balleisen, John D. Robb
Hearing Site: Louisville, KY
| | |
