| 11-04665 | 09/04/2013 | Claimant(s): Gary Epping
Claimant Lawyers(s): Edward H. Glenn, Jr.
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Milwaukee, WI
|  | Expungement |
| 12-01130 | 09/05/2012 | Claimant(s): Suzanne Smith, Stanford A. Smith, Jr.
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Frederick H. Bruce
Hearing Site: New Orleans, LA
| | $213 |
| 11-02630 | 03/22/2012 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): Kimberly Herkert and John Herkert, Jr.
Respondent Lawyers(s): Kimberly Herkert
Arbitrator(s): John Richard Lynch
Hearing Site: Albany, NY
| | $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 |
| 09-05421 | 01/28/2011 | Claimant(s): Randall Fausak
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis, Jr.
Arbitrator(s): Kinchen C. Bizzell, Richard J. Kaplan, Demetrio S. Timban
Hearing Site: New Orleans, LA
| | $107,475 |
| 09-03008 | 05/05/2010 | Claimant(s): MIchelle L. Lakeson, William B. Lakeson, Jr.
Claimant Lawyers(s): Fred W DeVore
Respondent(s): Dominique Vercaemert
Respondent Lawyers(s): Andrew Dorman
Arbitrator(s): W. Wells Van Pelt, John H. Griffing, Richard E. Miley
Hearing Site: Charlotte, NC
| | $43,500 |
| 08-04965 | 03/02/2010 | Claimant(s): George Rioseco
Claimant Lawyers(s): Peter D. St. Phillip
Respondent(s): Daniel Lofrese, John Gabelli, Gabelli & Company., Gamco Investors.
Respondent Lawyers(s): Charles J. Moxley, Jr., Joseph A. Sack
Arbitrator(s): James J. Fishman, Robert E. Holley, Gregory J. Getz
Hearing Site: New York, NY
| | $0 |
| 09-02752 | 12/03/2009 | Claimant(s): David T. Guyton, Jr., IRA, David Guyton, Jr. , TTEE Guyton Family T
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $15,787 |
| 08-03150 | 11/25/2009 | Claimant(s): Steven Cohen and Marsha Cohen
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Jr., Morgan Keegan & Company.
Respondent Lawyers(s): Nancy H. Baughan, Patrice R. Walker
Arbitrator(s): Vernon Barnum, Louis M. Parker, Richard W. Pendleton
Hearing Site: Las Vegas, NV
| | $0 |
| 08-00893 | 05/06/2009 | Claimant(s): Donald Burnham, Jr., Kelly Burnham
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bruce Cramer
Arbitrator(s): Marc R. Green, Brian J. Burstin, Kenneth Dymond
Hearing Site: Albany, NY
| | $0 |
