| 11-00086 | 07/30/2012 | Claimant(s): James Little, Susan B. Little Family Trust
Claimant Lawyers(s): P. Michael Yancey
Respondent(s): Richard Thayer, Ronald Lankford, William Stevens, First Legacy Securities, The Legacy Financial Group.
Respondent Lawyers(s): Adam K. Israel, Henry E. Walker, Henry Walker, Ronald W. Lankford, William Slay Stevens
Arbitrator(s): Gloria J Liddell, James Francis Donovan, J. Wesley Romine
Hearing Site: Birmingham, AL
|  | $835,000 |
| 10-01746 | 02/17/2012 | Claimant(s): William Featheringill
Claimant Lawyers(s): Rebecca A. Beers
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): A. Kelly Brennan Bolvig
Arbitrator(s): Allan Weiss, James Francis Donovan, Robert E. Graves
Hearing Site: Birmingham, AL
| | $1,950,300 |
| 08-03654 | 10/27/2009 | Claimant(s): Billy and Sharon Powell, Robert and Helen Perkins
Claimant Lawyers(s): Brian N. Smiley, Peter J. Mougey
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Donald N. Cohen
Arbitrator(s): Arthur W. Pigott, Mark A. Myers, James Francis Donovan
Hearing Site: Birmingham, AL
| | $222,053 |
| 05-03162 | 12/22/2008 | Claimant(s): James Bailey, Jeri Ghosh, Ken Powell, Leon Hadley, Leonard Gray, Marie Paulzak, Richard Powell, Rick Powell
Claimant Lawyers(s): David L. McGee, George S. Trevor, Jeri M. Ghosh, Marie Josee Paulzak, Peter J. Mougey
Respondent(s): Gary Paulzak, Jayanta Ghosh, Patrick Collins, Spelman & Co..
Respondent Lawyers(s): Gary Paulzak, George D. Fagan, Jayanta Ghosh, Mickey Wright
Arbitrator(s): Ron C. Christner, John J. Meyer, James Francis Donovan
Hearing Site: New Orleans, LA
| | Settlement |
| 02-03268 | 10/17/2008 | Claimant(s): Ikho Kang IRA, Ikho & Unsoon Kang
Claimant Lawyers(s): Christopher Mader
Respondent(s): Barbara Ralston, Charles Lazzaro, John Openshaw, Katrina Dudley, First Wall Street Corporation
Respondent Lawyers(s): Brandon S. Reif, Patrick Baldwin
Arbitrator(s): James M. Donovan, Michael W. Burnett, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 04-06421 | 01/29/2008 | Claimant(s): Steven Dobel
Claimant Lawyers(s): Edward Zusman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jennifer Tomsen
Arbitrator(s): Mark A. Myers, James Francis Donovan, Robert A. Wojcik
Hearing Site: New Orleans, LA
| | $288,000 |
