| 10-03264 | 03/28/2011 | Claimant(s): Mildred Wells
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Larry J. Craddock
Hearing Site: Birmingham, AL
|  | $25,425 |
| 10-03441 | 03/22/2011 | Claimant(s): Hugh Glass
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Robert E. Jenks
Hearing Site: Birmingham, AL
| | $4,213 |
| 10-03198 | 03/03/2011 | Claimant(s): Elbert Henson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Marc Kalish
Hearing Site: Birmingham, AL
| | $16,210 |
| 08-04956 | 02/01/2011 | Claimant(s): Cecil Wyatt, Nellie Wyatt
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Robert M. Brennan
Arbitrator(s): M. Eileen Dorsey, Lynne M. Gomez, David F. Barrett
Hearing Site: Birmingham, AL
| | $210,375 |
| 10-01792 | 01/13/2011 | Claimant(s): Sara Hosey
Claimant Lawyers(s): R. Allen Kilgore
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Suzanne H. Bertolett
Arbitrator(s): Marc Kalish
Hearing Site: Birmingham, AL
| | $0 |
| 08-03006 | 12/29/2010 | Claimant(s): Bradford Guthrie, Mary Guthrie
Claimant Lawyers(s): Bradford G. Guthrie, Mary M. Guthrie
Respondent(s): Harold Hays, John Hand, Merrill Lynch Pierce Fenner & Smith Inc., Rick Lessley, Robert Jurkiewicz
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): George A. Sawyer, Prince C. Chambliss, David Freeman
Hearing Site: Birmingham, AL
| | $0 |
| 09-06740 | 12/06/2010 | Claimant(s): John A. Robinson, Sara L. Robinson
Claimant Lawyers(s): Diandra S Debrosse Burnley
Respondent(s): Christopher Cowing, Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Stephen A. Rowe
Arbitrator(s): Will Murphy, Lynda L. Baker, Thomas W. Allen
Hearing Site: Birmingham, AL
| | $0 |
| 10-00456 | 09/16/2010 | Claimant(s): Roger Gratwick
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): Michael M. Hachigian
Hearing Site: Birmingham, AL
| | $25,425 |
| 09-04458 | 09/02/2010 | Claimant(s): George Trotter
Claimant Lawyers(s): George W. Trotter
Respondent(s): Christopher Miller, Park Avenue Securities LLC
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Steven P. Gregory, Charles W. Hill, Prince C. Chambliss
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 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 |
