| 11-01039 | 04/20/2012 | Claimant(s): Florence Pesce
Claimant Lawyers(s): Florence Pesce
Respondent(s): J.P. Morgan Securities, Banc One Securities Corporation
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Jeffrey M. Bain, Gregory P. Szuter, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
|  | $0 |
| 10-02943 | 12/05/2011 | Claimant(s): Grayce Stewart
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Morgan Keegan & Company., William Shamburger
Respondent Lawyers(s): Christie A. Moore
Arbitrator(s): Jeffrey M. Bain, Cheryl Renee Cravens, Michael E. Martin
Hearing Site: Louisville, KY
| | $98,000 |
| 10-00254 | 09/16/2011 | Claimant(s): Thomas Gannon, IRA
Claimant Lawyers(s): Scott D. Livingston
Respondent(s): Joseph Molinero, Morgan Stanley & Co.
Respondent Lawyers(s): Douglas W. Hyman
Arbitrator(s): Jeffrey M. Bain, Steven P. Franckhauser, Max D. Halpern
Hearing Site: Pittsburgh, PA
| | $0 |
| 10-02870 | 08/12/2011 | Claimant(s): Barbara Lynn, Barbara A. Lynn Trust
Claimant Lawyers(s): Roland M. Cavalier
Respondent(s): Brian Robb, Stifel, Nicolaus & Co.., John Peters
Respondent Lawyers(s): James C. Browning, Jr.
Arbitrator(s): Bert S Cliff, Jeffrey M. Bain, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | Stipulated Award and Expungement |
| 10-01456 | 04/26/2011 | Claimant(s): The Estate of Harvey Rosner
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): Kristen Hummel, U.S. Bancorp Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cleveland, OH
| | $0 |
| 08-01631 | 08/18/2010 | Claimant(s): Andrew Sims, Mark Sims, Patricia Sims
Claimant Lawyers(s): Christopher M. DeVito
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Jeffrey M. Bain, Richard S. Hines, Shelly A. Goering
Hearing Site: Cleveland, OH
| | $0 |
| 08-03012 | 05/17/2010 | Claimant(s): Tracy Scruggs, Andrew C. Scruggs and Tracy H. Scruggs
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): M. Jason Hale
Arbitrator(s): Jeffrey M. Bain, G. Brooks Euler, Kevin Clark
Hearing Site: Nashville, TN
| | $50,300 |
| 08-03702 | 05/12/2010 | Claimant(s): Garry Hodgin
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Michael Segal, Thomas Oneill, Yousuf Saljooki, Whitaker Securities LLC
Respondent Lawyers(s): Scott D. Stechman, Yousuf Saljooki
Arbitrator(s): Jeffrey M. Bain, Bruce C. Young, James A. Hayes
Hearing Site: Omaha, NE
| | Stipulated Award and Expungement |
| 07-02960 | 12/01/2009 | Claimant(s): Trinity United Methodist Church
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): George Franz, Allegheny Investments, LTD
Respondent Lawyers(s): Ari H. Jaffe, James F. Koehler
Arbitrator(s): Jeffrey M. Bain, Thomas R. Skulina
Hearing Site: Cleveland, OH
| | $110,900 |
| 08-03507 | 11/04/2009 | Claimant(s): Lori Polen, Marion Buchanan
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Jeffrey M. Bain, Michael D. Fitzgerald, Jeffrey C. Johnson
Hearing Site: Omaha, NE
| | $0 |
