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FINRA Awards for Fred Brister

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0100003/04/2016Claimant(s): David Wender, Sam Owen, David F. Wender, M.D. IRA, Sam Bryan Owen, SEP IRA, Newborn Assoc. PA Salary Savings Plan
Claimant Lawyers(s): Frank Kim Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): John C. Burch, Mark A. Myers, James L. Warren
Hearing Site: Jackson, MS
Checkmark IconExpungement
13-0085008/21/2015Claimant(s): Elizabeth Simpson, Elizabeth Winkelmann, Kimberly Odom, Nancy Clark, Billy P. Simpson, IRA, Charles W. Randall SEP IRA, Cynthia Winkelmann, Elizabeth H. Simpson, Richard B. Durgin, Rita Randall, Billy Simpson and Elizabeth Simpson
Claimant Lawyers(s): Joseph C. Peiffer
Respondent(s): Annette Dubose, Christa Garrett, Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Stephen H. Biller, Angelia J. Tolbert, Barbara Carraway Dogan
Hearing Site: Jackson, MS
Checkmark IconExpungement
13-0088006/11/2015Claimant(s): Chris Ethridge, Jesse Ethridge, Mark Shapley, Jesse C. Ethridge, IRA, Mississippi Sports Medicine 401(K) Plan, Amy Hatchett and Brad Hatchett, JT TEN
Claimant Lawyers(s): Frank "Kim" Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Patrice L. Stewart, Stephen H. Biller, James L. Warren
Hearing Site: Jackson, MS
Checkmark IconExpungement

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