| 14-02524 | 06/19/2017 | Claimant(s): Rosalie Lanzisera, Rosalie A. Lanzisera, IRA
Claimant Lawyers(s): Joseph A. Sack
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Joan M. Traub, Howard L. Sobel, Doris B. Nathan
Hearing Site: New York, NY
|  | $0 |
| 16-02190 | 03/29/2017 | Claimant(s): Randy Mims, IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Gregory Kuhn
Respondent Lawyers(s): Joel Davidson
Arbitrator(s): Rafael A. Porrata-Doria, Kathleen K. Murphy, Leo J. Karwejna
Hearing Site: Philadelphia, PA
| | $0 |
| 14-02056 | 02/24/2017 | Claimant(s): Jo Ann Bennett, Jasmine A. Hopson, Laprecious Hopson, Cevera H. Davis, IRA, Gloria Stamps, Jo Ann Bennet, Roth IRA, Maggie M. Cooper, Marilyn Grather, Marvin L. Falvey, Nancy Falvey, Patty L. Myers, Roy E. Crampton III IRA Rollover, Roy E. Crampton, Russell L. Laird, W.L. Cupit, William D. Falvey
Claimant Lawyers(s): Judson M. Lee
Respondent(s): Logan Phillips, Morgan Keegan & Company, Raymond, James & Associates.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Barbara L. Edin, Mollie Wagner Neal, William T. Bowen
Hearing Site: Jackson, MS
| | $761,771 |
| 14-00017 | 12/22/2016 | Claimant(s): Robert McCrary, Robert L. McCrary, IRA
Claimant Lawyers(s): Martin M. Green
Respondent(s): Stifel, Nicolaus & Co.., Neil Harrison, Roger Compton
Respondent Lawyers(s): James C. Browning, Jr., Neil R. Harrison
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Albert J. Haller
Hearing Site: St. Louis, MO
| | $25,884 |
| 14-02673 | 06/29/2016 | Claimant(s): Terry D. Johnstone, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Norman S. Nayfach, Nancy A. Yonge, Arocles Aguilar
Hearing Site: Reno, NV
| | Expungement |
| 14-02679 | 10/20/2015 | Claimant(s): Michael C. Shean, IRA, Suzanne T. Shean, Marcus Wallace or Melinda Wallace
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Christopher Fulco, Edward Zelezen, Pershing LLC, John Ward, Ronald Artzi
Respondent Lawyers(s): Elizabeth F. Edwards
Arbitrator(s): Ron C. Christner, Robert E. Graves, Brian P. Jakes
Hearing Site: Jackson, MS
| | Expungement |
| 13-00850 | 08/21/2015 | Claimant(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
| | Expungement |
| 14-02369 | 06/26/2015 | Claimant(s): William Paul, IRA
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Sam Antar, Roger B. Jacobs, Steven C. Kasarda
Hearing Site: New York, NY
| | Expungement |
| 13-00880 | 06/11/2015 | Claimant(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
| | Expungement |
| 14-02972 | 04/28/2015 | Claimant(s): Robert Wayne Anno, IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Albert J. Haller
Hearing Site: Kansas City, MO
| | $163 |
