| 11-01283 | 05/01/2012 | Claimant(s): Rita Lenda, Rita F. Lenda IRA
Claimant Lawyers(s): Edward J. Dovin
Respondent(s): Edwin Lenda, Morgan Stanley
Respondent Lawyers(s): John L. Castelly
Arbitrator(s): Gary J. Leshaw, Harvey R. Linder, Floyd W. McRae
Hearing Site: Atlanta, GA
|  | $300 |
| 11-03235 | 03/27/2012 | Claimant(s): Ellen Sides, Kim Sides, Ellen Sides UTMA Austin Sides 30939003, Ellen Sides UTMA Kimberly Sides 30938997, Ellen Sides UTMA Lauren Sides 30938963
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Richard L. Merkel
Hearing Site: Atlanta, GA
| | $25,425 |
| 11-02231 | 03/15/2012 | Claimant(s): Gloria Tripp, Robert T Tripp, Stephanie Tripp
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): John C. Yeoman
Hearing Site: Atlanta, GA
| | $9,207 |
| 11-02230 | 03/02/2012 | Claimant(s): Mary Walker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Deborah A. Jackson
Hearing Site: Atlanta, GA
| | $17,298 |
| 10-03532 | 02/13/2012 | Claimant(s): Russell Tarrant
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Kovack Securities Inc.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Deborah A. Jackson, Pat Huddleston, Dimitri Angelo Dodys
Hearing Site: Atlanta, GA
| | $314,317 |
| 11-01261 | 01/30/2012 | Claimant(s): Beverly Hall
Claimant Lawyers(s): Robert C. Port
Respondent(s): Ameriprise Financial Services., Ira Johnston
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John F. O'Neill
Hearing Site: Atlanta, GA
| | $225 |
| 10-03381 | 01/19/2012 | Claimant(s): Todd Klumok, Ted Raker and Doris B. Raker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Thomas H. O'Connor, Mary Margaret Bush, Arocles Aguilar
Hearing Site: Atlanta, GA
| | $66,174 |
| 10-00606 | 01/06/2012 | Claimant(s): Callas Foundation.
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): M. Jason Hale
Arbitrator(s): Charles W. Herf, Henry L. Dahl, Michael M. Hachigian
Hearing Site: Atlanta, GA
| | $231,337 |
| 11-01339 | 12/15/2011 | Claimant(s): Laura Bogolin, Roy Harvey
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Michael J. Ahlstrom, Helen E. Huyler, Joe E. Manuel
Hearing Site: Atlanta, GA
| | Expungement |
| 10-05212 | 12/08/2011 | Claimant(s): William Brooks
Claimant Lawyers(s): Cary Ichter
Respondent(s): Wells Fargo Advisors, Lawrence Rule
Respondent Lawyers(s): Glenn A. Delk, Keith J. Barnett
Arbitrator(s): Harry G. Mason, Bruce W. Bennett, James Roland Brumbelow
Hearing Site: Atlanta, GA
| | $214,100 |
