| 10-02460 | 05/19/2011 | Claimant(s): Harry Leete
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): G. A. Repple & Company
Respondent Lawyers(s): William M. Rishoi
Arbitrator(s): Robert P. Porter, George Steven Moore, David Lawrence Rowe
Hearing Site: Raleigh, NC
|  | $132,000 |
| 10-01650 | 05/18/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Cecil Creasy
Respondent Lawyers(s): J. Anthony Penry
Arbitrator(s): Peter B. Vaden, Fred Kelner, Dwayne Thomas McKinley
Hearing Site: Raleigh, NC
| | |
| 10-02585 | 05/04/2011 | Claimant(s): Gerald Patera
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Seaboard Securities.
Respondent Lawyers(s): Anthony J. Digiovanni
Arbitrator(s): Roy J. Baroff, Harold G. Koger, Karen J. Montgomery
Hearing Site: Raleigh, NC
| | $120,300 |
| 10-03926 | 04/12/2011 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Michael Lingner
Respondent Lawyers(s): Michael John Lingner
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | |
| 09-06006 | 03/25/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): John Faircloth
Respondent Lawyers(s): John E. Faircloth
Arbitrator(s): William A. Collison, Donita M. King, Lester Neal Ellis
Hearing Site: Raleigh, NC
| | |
| 10-00405 | 03/08/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Richard Cobb
Respondent Lawyers(s): Richard Cobb
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Raleigh, NC
| | |
| 10-01294 | 12/01/2010 | Claimant(s): Dellmer Seitter, Patty Seitter
Claimant Lawyers(s): Dellmer B. Seitter
Respondent(s): SunTrust Investment Services., Jerry Smith
Respondent Lawyers(s): Erica Thomas Meyers
Arbitrator(s): Leon Henderson
Hearing Site: Raleigh, NC
| | $0 |
| 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 |
| 10-01807 | 11/19/2010 | Claimant(s): Bruce B. Raynor
Claimant Lawyers(s): Bruce B. Raynor
Respondent(s): Samuel Starling
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Thomas W. Steed
Hearing Site: Raleigh, NC
| | $213 |
| 09-06146 | 11/17/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Sean Ruehl
Respondent Lawyers(s): Sean Ruehl
Arbitrator(s): Robert P. Porter, Caryl S. Bernstein, Karen J. Montgomery
Hearing Site: Raleigh, NC
| | |
