| 10-01114 | 12/02/2011 | Claimant(s): Bill Manuel
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): W. Alex King
Hearing Site: Birmingham, AL
|  | $25,000 |
| 10-03405 | 12/02/2011 | Claimant(s): Karen Roberts
Claimant Lawyers(s): Tiffany J. Brown
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Steven Gerard Goerke, Barth Satuloff, Bernard A. Taub
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-01782 | 12/02/2011 | Claimant(s): Richard Oldham
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Paul F. Faberman
Hearing Site: Birmingham, AL
| | $11,844 |
| 10-05826 | 12/01/2011 | Claimant(s): Debbie Houston, Laura Lett
Claimant Lawyers(s): J. Michael Bishop
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith J. Barnett
Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Bruce W. Bennett
Hearing Site: Atlanta, GA
| | $130,300 |
| 11-01740 | 12/01/2011 | Claimant(s): Becky Phillips
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Barbara M. Zak
Hearing Site: Birmingham, AL
| | $17,117 |
| 10-00973 | 11/30/2011 | Claimant(s): John Speros, John Speros LLC, Michael S. Fletcher & Linda Fletcher, Ronald Reifler Revocable Trust
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Mollie Wagner Neal, William P. McCorkle, John H. Beach
Hearing Site: Atlanta, GA
| | Expungement |
| 10-03776 | 11/30/2011 | Claimant(s): Larry and Barbara Friedman
Claimant Lawyers(s): David E. Robbins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael Gibson
Arbitrator(s): Michael E. Scullin, David F. Griesing, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | $625,000 |
| 10-04264 | 11/30/2011 | Claimant(s): Mark Oslick
Claimant Lawyers(s): Daniel M. Hanifin
Respondent(s): David Zane, Stephen Cordasco, RBC Capital Markets Corporation
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-00773 | 11/30/2011 | Claimant(s): Gerard Bianco, Gabriella Bianco
Claimant Lawyers(s): Gerard Bianco
Respondent(s): James Rapuano, GunnAllen Financial
Respondent Lawyers(s): Frederick Kraus, James Michael Rapuano
Arbitrator(s): Mary C. Kelleher
Hearing Site: Hartford, CT
| | $31,696 |
| 10-03001 | 11/30/2011 | Claimant(s): Hugh Mays, Jill Mays, The Mays Family Trust
Claimant Lawyers(s): Arthur S. Leider, Floyd R. Brown
Respondent(s): Ameriprise Financial Services., Orin Green, Richard Fogg
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Michael F. Brown, Lawrence Alexander Huerta, Jon C. Milliken
Hearing Site: San Diego, CA
| | $0 |
