| 09-01289 | 05/09/2011 | Claimant(s): PMW Partners d/b/a Capital Trust Wealth
Claimant Lawyers(s): Eugene N. Bulso
Respondent(s): RBC Centura Banks., NBC Securities.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): Richard L. Oates, Richard G. Isaac, Kenneth I. Daniels
Hearing Site: Birmingham, AL
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| 09-04271 | 09/07/2010 | Claimant(s): James Merryman
Claimant Lawyers(s): Lewis C Culpepper
Respondent(s): Christopher Hicks, First Tennessee Brokerage.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Richard L. Oates, Edward M. Kaplan, Lawrence W. Kern
Hearing Site: Memphis, TN
|  | $0 |
| 08-03370 | 11/13/2009 | Claimant(s): Percy Dover and Karen Dover
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Colleen D. Hitch
Arbitrator(s): Richard L. Oates, Donald K. Eckhardt, Jerry L. Hooper
Hearing Site: Memphis, TN
| | $0 |
| 07-01315 | 02/15/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Cooper
Respondent Lawyers(s): Thomas Stephen Cooper
Arbitrator(s): Richard L. Oates, Thomas C. Moxley, Richard Lee Matthews
Hearing Site: Nashville, TN
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| 06-03345 | 11/20/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Winemiller
Respondent Lawyers(s): Paul Forrest Craig
Arbitrator(s): Richard L. Oates, David George McCabe, Scott E. Ferguson
Hearing Site: Memphis, TN
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| 05-04046 | 10/10/2007 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): James Taylor
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): Richard L. Oates, E. Steve Scales, Lori Beth Kamen
Hearing Site: Memphis, TN
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| 05-02388 | 08/07/2007 | Claimant(s): E*Trade Securities LLC
Claimant Lawyers(s): John Bersin
Respondent(s): Robert Pebbles
Respondent Lawyers(s): Robert Pebbles
Arbitrator(s): Richard L. Oates, F. Guthrie Castle, Jay R. Robinson
Hearing Site: Memphis, TN
| | $0 |
