| 14-02800 | 07/18/2016 | Claimant(s): Mauris Thompson
Claimant Lawyers(s): Yawanna McDonald
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Daniel T. Hull, Robert Gerald Boliek
Hearing Site: Birmingham, AL
|  | Expungement |
| 14-02663 | 07/06/2016 | Claimant(s): Shannon Nafaa, Estate of Raymond Ryals
Claimant Lawyers(s): John M. Lassiter
Respondent(s): Morgan Stanley, Linda Ryals, Sun America Annuity & Life Insurance Co.
Respondent Lawyers(s): Brian C. Hale, Michael A Wing, Michael K. Brisbin
Arbitrator(s): John G. Manley, Richard J. Clement, Stephen Edgar Eisenbraun
Hearing Site: Birmingham, AL
| | $0 |
| 14-01768 | 05/12/2016 | Claimant(s): Marion Brakefield, Marion Brakefield as the Executrix
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): W. William Harness, James Edward Seale, Rachel Kay Russell
Hearing Site: Birmingham, AL
| | Expungement |
| 15-01834 | 03/25/2016 | Claimant(s): Brenda Woodmansee, Brenda K. Woodmansee IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Robert Smith, American General Securities Incorporated, Berthel, Fisher & Co Financial Svs., ProEquities.
Respondent Lawyers(s): Greg Curley, Heather R. Demyan, Stephen C. Jackson
Arbitrator(s): Daniel T. Hull, Rachel Kay Russell, Roslyn Barbee
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 13-02474 | 03/17/2016 | Claimant(s): Daniel Harkins
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Karla Y. Vogel, Debra Black Leo, Clarence H. Hampton
Hearing Site: Birmingham, AL
| | Expungement |
| 14-00439 | 02/08/2016 | Claimant(s): Richard Kingery
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Mark A. Myers, Stephen B. Agricola, James L. Warren
Hearing Site: Birmingham, AL
| | Expungement |
| 14-01271 | 12/10/2015 | Claimant(s): Lee Riggins, M.D., Lee Shefton Riggins, MD, Trustee, et al
Claimant Lawyers(s): Samuel M. Hill
Respondent(s): Joshua Rudder, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Steven P. Gregory, Clarence H. Hampton, Rachel Kay Russell
Hearing Site: Birmingham, AL
| | $0 |
| 15-00853 | 12/08/2015 | Claimant(s): Dontae Satchel
Claimant Lawyers(s): Dontae Levar Satchel
Respondent(s): Franklin Templeton Financial Services Co
Respondent Lawyers(s): Christine M. Debevec
Arbitrator(s): Robert N. Leitch, Samuel C. Johnson, Daniel T. Hull
Hearing Site: Birmingham, AL
| | $0 |
| 14-03498 | 10/01/2015 | Claimant(s): James F. Richards IRA
Claimant Lawyers(s): James F. Richards
Respondent(s): Andrew Zides, T. Rowe Price Investment Services., Daniel Nurkala, Erica Kim, Jeffrey Krawczak, Shawn Reagan
Respondent Lawyers(s): Jonathan C. Caballero
Arbitrator(s): John F. O'Neill
Hearing Site: Birmingham, AL
| | $7,240 |
| 14-03198 | 09/01/2015 | Claimant(s): Shirley Thames
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Steven P. Gregory
Hearing Site: Birmingham, AL
| | Expungement |
