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FINRA Awards for Thomas K. Potter

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0434407/20/2011Claimant(s): Legends Bank
Claimant Lawyers(s): John M Edgar
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas K. Potter, III
Arbitrator(s): Monica I. Salis, Beverly S. Gordon, Domitilia M. dos Santos
Hearing Site: Nashville, TN
Checkmark IconStipulated Award and Expungement
06-0105608/03/2007Claimant(s): Harland L. Beers Rollover IRA
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Legg Mason Wood Walker
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): John Steve Azadian, Russell W. Merriman, Oliver J. Janney
Hearing Site: Tampa, FL
Checkmark IconStipulated Award

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