| 08-00082 | 05/14/2010 | Claimant(s): Eugene O. Jones and Joy F. Jones
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Slowey, Edward Puttick, Advanced Planning Securities.
Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan
Arbitrator(s): John J. Meyer, Jerry C. Prestridge, David Walton Earle
Hearing Site: New Orleans, LA
|  | Stipulated Award |
| 08-04780 | 03/15/2010 | Claimant(s): Robert Sudduth, The Robert Sudduth Family Trust
Claimant Lawyers(s): George W. Healy
Respondent(s): James Holdman
Respondent Lawyers(s): MacAllynn J. Achee
Arbitrator(s): John J. Meyer, Mark A. Myers, Allen J. Krouse
Hearing Site: New Orleans, LA
| | $1,300,600 |
| 09-00303 | 03/10/2010 | Claimant(s): Kathleen S. Lahare, Paul J. Lahare
Claimant Lawyers(s): Jessica M. Vasquez
Respondent(s): Robert McCullough, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Simeon B. Reimonenq, Carolyn L. Witherspoon, Robert A. Wojcik
Hearing Site: New Orleans, LA
| | $0 |
| 09-04067 | 03/02/2010 | Claimant(s): Cleveland Foret, Joan Foret
Claimant Lawyers(s): James F. Willeford
Respondent(s): Legg Mason Wood Walker, Sterne, Agee & Leach.
Respondent Lawyers(s): Jason W. Gaarder, Meredith Jowers Lees
Arbitrator(s): Robert H. Putnam, Michael T. Nobile, William Gilbert Faulk
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |
| 09-05600 | 02/25/2010 | Claimant(s): Bruce Brookshire
Claimant Lawyers(s): Bruce C. Brookshire
Respondent(s): George Hamby, James Day, Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | $0 |
| 08-04168 | 11/20/2009 | Claimant(s): Amar Paul Sawhney
Claimant Lawyers(s): Amar Paul Singh Sawhney
Respondent(s): Brian Furrow, Frank Sullivan, TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Robert C. Upton, Allen J. Krouse, Brian P. Jakes
Hearing Site: New Orleans, LA
| | $0 |
| 08-02990 | 11/12/2009 | Claimant(s): George Kostuch
Claimant Lawyers(s): Lee Bowie
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Michael T. Nobile, Donald Milo Helton, Charles H. Peterson
Hearing Site: New Orleans, LA
| | $0 |
| 08-02669 | 10/30/2009 | Claimant(s): Florence Campbell Butts
Claimant Lawyers(s): Meredith A. Cunningham
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Jeffrey P. Hinebaugh
Arbitrator(s): Frederick H. Bruce, Dale A. Kaliszeski, B. David Jarashow
Hearing Site: New Orleans, LA
| | $68,500 |
| 08-01294 | 10/09/2009 | Claimant(s): Joseph Wayne Smith and Carol C. Smith
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Steve R. Neuman, Keith E. Robinson, Brian P. Jakes
Hearing Site: New Orleans, LA
| | $40,000 |
| 08-01866 | 09/03/2009 | Claimant(s): Therist Theroit
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Keegan & Company., Regions Financial Corp.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Elton W. Chartrand, Philip P. Monteleone, Thomas Edmond Mingledorff
Hearing Site: New Orleans, LA
| | $0 |
