| 17-01188 | 05/15/2018 | Claimant(s): Peggy Batson, The Estate of Evelyn C. Batson, Peggy L. Batson on behalf of her IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Brian James Tagtmeier, Chermaine Nkomo, Daniel L. Fulkerson
Hearing Site: Houston, TX
|  | $35,000 |
| 17-00197 | 06/30/2017 | Claimant(s): David Kaplan, Nedra Kaplan
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Aaron Hattem, Stifel, Nicolaus & Co.., Neil Hattem
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | $300 |
| 16-03384 | 06/20/2017 | Claimant(s): Brenda Anderson, John Anderson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Jerry McCutchen, Berthel, Fisher & Company Financial Serv, Next Financial Group.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 16-03568 | 05/23/2017 | Claimant(s): Jack Shewmake
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Bryce Willis, Terry Bagwell, MetLife Securities Inc.
Respondent Lawyers(s): Kathryn R. Eldridge, Mickey B. Wright, Paul M. James
Arbitrator(s): Karen Roberts Washington, Debra Black Leo, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 16-01352 | 01/12/2017 | Claimant(s): Denise Weiss
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
| | $600 |
| 14-01768 | 05/12/2016 | Claimant(s): Marion Brakefield, Marion Brakefield as the Executrix
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): W. William Harness, James Edward Seale, Rachel Kay Russell
Hearing Site: Birmingham, AL
| | Expungement |
| 14-03198 | 09/01/2015 | Claimant(s): Shirley Thames
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Steven P. Gregory
Hearing Site: Birmingham, AL
| | Expungement |
| 14-01244 | 04/02/2015 | Claimant(s): William Peppenhorst
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
| | $57,545 |
| 13-03111 | 05/14/2014 | Claimant(s): Velma Petty
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): James W. Kerr
Hearing Site: Birmingham, AL
| | $0 |
| 13-02211 | 05/02/2014 | Claimant(s): Olene Miller
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Enrique Provencio
Arbitrator(s): Thomas E. Shuck
Hearing Site: Jackson, MS
| | $0 |
