| 07-00873 | 11/23/2007 | Claimant(s): Gloria Yarborough
Claimant Lawyers(s): Gloria Jean Yarborough
Respondent(s): Lyle Finley, Suntrust Investment Services.
Respondent Lawyers(s): Carrie Anne Orlikowski
Arbitrator(s): Thomas W. Steed
Hearing Site: Raleigh, NC
|  | $0 |
| 07-01607 | 11/07/2007 | Claimant(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
| | $0 |
| 07-00812 | 11/01/2007 | Claimant(s): John Amon
Claimant Lawyers(s): John I. Amon
Respondent(s): Tom Moriarty, Vic Hobson, Intersecurities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Thomas W. Steed, Wayne Parker, William A. Collison
Hearing Site: Raleigh, NC
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| 07-00621 | 09/28/2007 | Claimant(s): La Salle St. Securities, L.L.C.
Claimant Lawyers(s): Stephen B. Diamond
Respondent(s): Morris Weisner
Respondent Lawyers(s): Morris C. Weisner
Arbitrator(s): Anne W. Larkin
Hearing Site: Raleigh, NC
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| 06-02921 | 09/24/2007 | Claimant(s): Jennifer Smith
Claimant Lawyers(s): Hans H. Huang
Respondent(s): Chris Suarez, Ryan Ku, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Ryan H. Ku
Arbitrator(s): John R. Canada, Leonard E. Benade, David P. McDuffee
Hearing Site: Raleigh, NC
| | Settlement |
| 06-04542 | 08/22/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Jason Wands
Respondent Lawyers(s): Jason A. Wands
Arbitrator(s): William W. Marchant, Frank Samuel Perri, John E. Baynum
Hearing Site: Raleigh, NC
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