| 13-00694 | 09/26/2013 | Claimant(s): Joe King
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Enrique Provencio
Arbitrator(s): Arthur L. Tepper
Hearing Site: Birmingham, AL
|  | $300 |
| 13-00986 | 09/25/2013 | Claimant(s): Velma H. Petty, IRA
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert S. McConnell
Hearing Site: Birmingham, AL
| | $44,262 |
| 13-00695 | 09/24/2013 | Claimant(s): Doris Annette King Marital Deduction Tru
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Enrique Provencio
Arbitrator(s): Edward M. Rosensteel
Hearing Site: Birmingham, AL
| | $300 |
| 13-00618 | 09/23/2013 | Claimant(s): Marian Grainger, Marian M. Grainger, as Trustee of the Ph
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Legg Mason Wood Walker, Morgan Keegan & Company.
Respondent Lawyers(s): Dana N. Pescosolido, Thomas F. Barnett
Arbitrator(s): Ronald Chun
Hearing Site: Birmingham, AL
| | $0 |
| 13-00709 | 09/17/2013 | Claimant(s): Charlotte Adams
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Arthur L. Tepper
Hearing Site: Birmingham, AL
| | $50,600 |
| 12-02955 | 09/17/2013 | Claimant(s): Bettye Burns
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Samuel L. McClaren
Hearing Site: Birmingham, AL
| | $0 |
| 12-01827 | 09/16/2013 | Claimant(s): John Lott
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Joyce F. Glucksman, Samuel C. Johnson, Laree Payne Kennedy
Hearing Site: Birmingham, AL
| | Expungement |
| 12-00039 | 07/31/2013 | Claimant(s): Estate of Al Holloway
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Phillip Lee Scheldt
Hearing Site: Birmingham, AL
| | $33,250 |
| 11-01226 | 07/30/2013 | Claimant(s): Estate of Thelma A. Mendel, Thelma A. Mendel Lifetime Trust
Claimant Lawyers(s): J. Curt Tanner, Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): John F. Allgood, Philip Michael Moran, Brock Bingham Gordon
Hearing Site: Birmingham, AL
| | $279,500 |
| 12-00804 | 07/22/2013 | Claimant(s): Floyd Sizemore
Claimant Lawyers(s): Preston F. Nichols
Respondent(s): Synovus Securities.
Respondent Lawyers(s): William Jay Long
Arbitrator(s): Lita S Menkin, Suzette Merriam Foster, Arthur Lee Martin
Hearing Site: Birmingham, AL
| | $0 |
