| 13-02291 | 04/28/2015 | Claimant(s): Estate of Billie Sue Looney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Allan Weiss, J. Wesley Romine, Charles Carl Fridlin
Hearing Site: Birmingham, AL
|  | $0 |
| 14-01244 | 04/02/2015 | Claimant(s): William Peppenhorst
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
| | $57,545 |
| 14-01205 | 02/24/2015 | Claimant(s): Dierdre Garvin, Gregory Garvin
Claimant Lawyers(s): Sandra Malkin
Respondent(s): Jerry Mccutchen, Berthel, Fisher & Co Fin. Srvcs.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Frank W. Virgin
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 12-04108 | 10/10/2014 | Claimant(s): John Wellborn
Claimant Lawyers(s): Jonathan E. Newman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Kendall P. Hill, John D. Mattingly, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | $0 |
| 13-01951 | 10/08/2014 | Claimant(s): Willie Cabbil
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): David Miller, Eileen Fannon, Kelly Miller, Laura Tedball, Resource Horizons Group
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): James Edward Seale, Neil Harvey Smith, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | $355,230 |
| 14-00248 | 08/14/2014 | Claimant(s): Eric Neumann
Claimant Lawyers(s): Eric V Neumann
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leonard E. Benade
Hearing Site: Birmingham, AL
| | $425 |
| 13-02070 | 07/30/2014 | Claimant(s): Michael Ericson, Michael Ericson Executor of Don Ericson, Michael Ericson Executor of Jane Ericson, Michael Ericson Trustee of Don Ericson, Michael Ericson Trustee of Jane Ericson
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Proequities.
Respondent Lawyers(s): Melinda L. Peevy
Arbitrator(s): Donald Milo Helton, Marvin Kent Speigner, Emily Sides Bonds
Hearing Site: Birmingham, AL
| | $0 |
| 13-00878 | 06/02/2014 | Claimant(s): John Brasfield
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Matthew D. Klafter
Arbitrator(s): Helen E. Huyler
Hearing Site: Birmingham, AL
| | Expungement |
| 13-03111 | 05/14/2014 | Claimant(s): Velma Petty
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): James W. Kerr
Hearing Site: Birmingham, AL
| | $0 |
| 13-01463 | 10/17/2013 | Claimant(s): Velma Petty
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Edward J. Costello
Hearing Site: Birmingham, AL
| | $36,987 |
