| 11-03906 | 12/10/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Ronny Powell
Respondent Lawyers(s): Ronny W. Powell
Arbitrator(s): Marshal H. Emerson, John F. O'Neill, David Freeman
Hearing Site: Birmingham, AL
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| 12-01647 | 11/19/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
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| 12-01650 | 10/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Eric Johnson
Respondent Lawyers(s): Eric David Johnson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
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| 09-01683 | 03/05/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jason Warner
Respondent(s): Robert Bailey
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): John G. Manley, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
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| 10-05503 | 01/05/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen Burns
Respondent(s): William Fraley
Respondent Lawyers(s): William C. Fraley
Arbitrator(s): Mark A. Myers, Daniel T. Hull, Suzette Merriam Foster
Hearing Site: Birmingham, AL
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| 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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| 09-00175 | 11/01/2010 | Claimant(s): James Fellus
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters
Arbitrator(s): James Francis Donovan, Todd Edward Phillips, J. Wesley Romine
Hearing Site: Birmingham, AL
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| 09-05792 | 06/21/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Frank Yeilding
Respondent Lawyers(s): Frank A. Yeilding
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
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| 09-02152 | 03/25/2010 | Claimant(s): Gordon Stamper
Claimant Lawyers(s): Gordon D. Stamper
Respondent(s): MML Investors Services.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): James Francis Donovan, Robert N. Kohn, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
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| 09-04097 | 12/07/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Wiginton
Respondent Lawyers(s): Michael W. Wiginton
Arbitrator(s): Thomas C. Moxley
Hearing Site: Birmingham, AL
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