| 12-01828 | 07/11/2013 | Claimant(s): Edna Thompson, Edna E. Thompson CGM IRA Custodian
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Julie W. Portera, Todd H. Cox
Arbitrator(s): Daniel H. Kolber, Donald Milo Helton, J. Wesley Romine
Hearing Site: Birmingham, AL
|  | Expungement |
| 12-02303 | 06/19/2013 | Claimant(s): Ahmad Shah Jalil, Shah S. Jalil C/F Maurie S. Jalil UTTMA, Shah S. Jalil C/F Sarah E. Jalil UTTMA
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): BBVA Compass Investment Solutions, Sterne, Agee & Leach.
Respondent Lawyers(s): M. Lee Johnsey, Rebecca A. Beers
Arbitrator(s): Earle J. Schwarz, Debra Black Leo, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
| | Expungement |
| 12-01499 | 04/29/2013 | Claimant(s): Joseph Pittman, Robert Dryden, Scott McArthur
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): Gloria J Liddell, Nigel W. Sadd, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | Expungement |
| 12-01112 | 01/29/2013 | Claimant(s): William Cleino
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Birmingham, AL
| | $0 |
| 12-01114 | 10/03/2012 | Claimant(s): Connie Knox
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Stuart K. Furman
Hearing Site: Birmingham, AL
| | $17,925 |
| 11-00417 | 10/02/2012 | Claimant(s): David Berdeaux, William Grace
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Paul K. Barenholtz, Edward R. Niederriter, Robert G. O'Brien
Hearing Site: Birmingham, AL
| | $103,214 |
| 12-01129 | 09/25/2012 | Claimant(s): Paul Cottrell
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Birmingham, AL
| | $25,425 |
| 11-02298 | 09/07/2012 | Claimant(s): David Elias 2002 Trust, Helene R. Elias 2002 Trust
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick Mahoney
Arbitrator(s): C. Sumpter Logan, Neil Harvey Smith, Brock Bingham Gordon
Hearing Site: Birmingham, AL
| | Expungement |
| 12-00243 | 09/05/2012 | Claimant(s): Jonathan McKinzie, LaSandra McKinzie, Tashara McKinzie
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): R. Van Young
Hearing Site: Birmingham, AL
| | $0 |
| 10-01658 | 08/30/2012 | Claimant(s): Louie B. Cowan and Ruby A. Cowan
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Donald F. Winningham
Arbitrator(s): Richard J. Stall
Hearing Site: Birmingham, AL
| | $23,983 |
