| 12-03717 | 07/22/2013 | Claimant(s): Linda Gilliam
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Charles Mason, Sagepoint Financial.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Paul R. Meyer
Hearing Site: Portland, OR
|  | $0 |
| 11-04614 | 07/22/2013 | Claimant(s): Kenneth Finnegan, Nancy Gouffon, Nancy F. Gouffon, C/F, Kenneth M. Finnegan, IRA, Nancy F. Gouffon IRA, ROTH IRA
Claimant Lawyers(s): Howard B Prossnitz
Respondent(s): Morgan Keegan & Co..
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Julia Rota, Kirtley M. Thiesmeyer, Marvin L. Schuldiner
Hearing Site: Memphis, TN
| | $0 |
| 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 |
| 11-03539 | 07/19/2013 | Claimant(s): Lois Padgett, Vic Padgett
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Amelia F. Adams
Hearing Site: Indianapolis, IN
| | $0 |
| 13-00198 | 07/19/2013 | Claimant(s): Frances Whitehead
Claimant Lawyers(s): Robert E. Norton
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Donald M. Macdonald
Hearing Site: Atlanta, GA
| | $300 |
| 10-03943 | 07/18/2013 | Claimant(s): Timothy Stephens
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Walter Schneider, Barclays Capital Inc., Barclays Wealth
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Larry J. Sklar, Daniel J. Pagnano, Deirdre Renee Fuller
Hearing Site: Houston, TX
| | $0 |
| 11-00396 | 07/18/2013 | Claimant(s): John Ray, Cherry Road Investors 9
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): MCL Financial Group., Estate of Michael Byrum Upton
Respondent Lawyers(s): Estate of Michael Byrum Upton, Lawrence Singleton
Arbitrator(s): Harvey C. Flodin, James J. Dobbin, Sally G. Williams
Hearing Site: San Diego, CA
| | $850,005 |
| 12-03086 | 07/18/2013 | Claimant(s): Jill Luft, Richard Luft, FBO Luft Living Trust
Claimant Lawyers(s): Richard N. Luft
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | $300 |
| 12-03492 | 07/17/2013 | Claimant(s): Jay Heller
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | $0 |
| 12-03253 | 07/17/2013 | Claimant(s): Jaimie Flack, William Flack
Claimant Lawyers(s): Jaimie G. Flack
Respondent(s): Morgan Stanley, Robert Ennis, Sheryl Zuckerman
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Robert A. Sauerberg
Hearing Site: Ft. Lauderdale, FL
| | $0 |
