FINRA Awards for Carlton Phillips

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
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
06-04080	02/08/2008	Claimant(s): Alexander Williams, Alma Finch, Berry Rover, Carlton Phillips, Curtis Barnes, Delie Anthony, Delores Perry, Dora Williams, Eddie Cooper, Excell Finch, Linda Durham, Mamie Cooper, Odell Knight, Rita Harris, Robert Beamon, Rokisha Simrel, Ruby Arrington, Ruth Beamon, Samuel Harrell, Shirley Davis, et al Claimant Lawyers(s): Howard B. Prossnitz Respondent(s): Investors Capital Corp. Respondent Lawyers(s): James A. McGovern Arbitrator(s): Zeb E. Barnhardt, Thomas C. Borthwick, Harold G. Koger Hearing Site: Raleigh, NC		$667,720