| 20-02468 | 05/06/2022 | Claimant(s): Janice Compton
Claimant Lawyers(s): Niel Prosser
Respondent(s): Thomas Buck
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Ian S. Greig, Mollie Wagner Neal, Gary E. Marcus
Hearing Site: Memphis, TN
|  | $5,216,020 |
| 20-01268 | 09/09/2020 | Claimant(s): Ryan Hilliard
Claimant Lawyers(s): Ryan A. Hilliard
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Gayle B. Carlson
Hearing Site: Memphis, TN
| | $0 |
| 18-02750 | 10/30/2019 | Claimant(s): Jerry Steelman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Thomas Joseph Atkinson, Stephen Earl Clark, Richard Manuel Barcia
Hearing Site: Memphis, TN
| | $154,000 |
| 18-01451 | 03/21/2019 | Claimant(s): Gallina Family Investments
Claimant Lawyers(s): Charles W HIll
Respondent(s): Wells Fargo Clearing Services, Nathan Hooker
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Stuart K. Furman, Earle J. Schwarz, Frank S. Cantrell
Hearing Site: Memphis, TN
| | $0 |
| 18-02597 | 01/08/2019 | Claimant(s): Peggy Russell
Claimant Lawyers(s): Edward M. Bearman
Respondent(s): Richard Burt
Respondent Lawyers(s): Richard Allen Burt
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Memphis, TN
| | $300 |
| 17-02830 | 11/06/2018 | Claimant(s): Beth Rowlett, Carter Towne, Donna Lester, James Thannum, Janice Jeffrey, Judy Wormser, Margaret Bryant, Mary Jo Kearfort, Robert Burns, Steve Beaulieu, Thomas Scherer, Vicki Currie, Virginia Scherer
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): John P. Cullem, Patricia Best Vital, Robert Stewart Barney
Hearing Site: Memphis, TN
| | $0 |
| 15-03410 | 07/20/2017 | Claimant(s): Elliot Wender, Penina Wender, Elliot and Penina Wender Revocable Trust
Claimant Lawyers(s): Ross E. Webster, Saul Belz
Respondent(s): Justin Berman, Berman Capital Advisors, Massey, Quick & Co.
Respondent Lawyers(s): John M. Gross, Ramsey A. Knowles
Arbitrator(s): Gregory D. Hoffmann, Robert W. Kneeland, Avery B. Goodman
Hearing Site: Memphis, TN
| | $50,000 |
| 15-01525 | 05/23/2016 | Claimant(s): Toya Williams
Claimant Lawyers(s): Toya Elaine Williams
Respondent(s): Charles Winfrey
Respondent Lawyers(s): John A. Beam
Arbitrator(s): Stuart Sinai
Hearing Site: Memphis, TN
| | Dismissed by Rule 12206 |
| 13-02292 | 11/26/2014 | Claimant(s): Charlotte Lucas, Samuel Lucas
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Cindy D. Hinkle
Arbitrator(s): Elton W. Chartrand
Hearing Site: Memphis, TN
| | $46,048 |
| 11-04614 | 07/22/2013 | Claimant(s): Kenneth Finnegan, Nancy Gouffon, Nancy F. Gouffon, C/F, Kenneth M. Finnegan, IRA, Nancy F. Gouffon IRA, ROTH IRA
Claimant Lawyers(s): Howard B Prossnitz
Respondent(s): Morgan Keegan & Co..
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Julia Rota, Kirtley M. Thiesmeyer, Marvin L. Schuldiner
Hearing Site: Memphis, TN
| | $0 |
