| 16-01810 | 04/26/2018 | Claimant(s): HCM Consulting, The HCM Consulting. Pension Plan
Claimant Lawyers(s): Richard Kyle Gavin
Respondent(s): Wells Fargo Advisors, John Crockenberg, Mark Hoffman
Respondent Lawyers(s): Benjamin J. Biard, Beverly Jo Slaughter
Arbitrator(s): Muriel Desloovere, Marshal H. Emerson, David Henry Samson
Hearing Site: Jacksonville, FL
|  | $76,257 |
| 09-03614 | 08/02/2010 | Claimant(s): Curtis Pilot
Claimant Lawyers(s): Dawn Stith Evans
Respondent(s): Citigroup Global Markets., Webb Radcliff, Morgan Stanley Smith Barney (CRD#149777), Salomon Smith Barney (CRD # 7059)
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Kendall P. Hill, Steven P. Gregory, Marshal H. Emerson
Hearing Site: Birmingham, AL
| | Stipulated Award and Expungement |
| 08-01066 | 06/26/2009 | Claimant(s): Claude Jones
Claimant Lawyers(s): H. Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Meredith M. Thompson
Arbitrator(s): Beverly S. Gordon, Marshal H. Emerson, A.J. Seier
Hearing Site: Tampa, FL
| | $0 |
| 07-01743 | 11/05/2008 | Claimant(s): General Investments.
Claimant Lawyers(s): Thomas D. Jackson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Diana A. Weiner, Gail E. Sasnett-Stauffer, Marshal H. Emerson
Hearing Site: Tampa, FL
| | $0 |
| 07-03542 | 07/14/2008 | Claimant(s): Donna Pierce
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Irving M. Shlesinger, Marshal H. Emerson, Cheung David Chhieng
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
