| 08-02787 | 11/13/2009 | Claimant(s): Jose Delgado, Rolling Shield Parts.
Claimant Lawyers(s): Jezabel Llorente
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Bernard (Bob) L. Loring, Elena G. Rodriguez, Kevin A. Llinas
Hearing Site: Miami, FL
|  | $415,481 |
| 09-00503 | 11/13/2009 | Claimant(s): Andrew Krynik
Claimant Lawyers(s): David C. Gunn
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
| | $18,039 |
| 09-01321 | 11/13/2009 | Claimant(s): Robert Benward, Robert S. Benward Roth/IRA
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Rebecca L. Burnaugh
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | $10,114 |
| 09-02500 | 11/13/2009 | Claimant(s): Elizabeth Dankman
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation
Respondent Lawyers(s): Alex Sabo, H. Thomas Fehn, Michael G. Shannon, Tracy L. Gerber
Arbitrator(s): Alexander I. Heckman, Peter A. Cartwright, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 08-03370 | 11/13/2009 | Claimant(s): Percy Dover and Karen Dover
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Colleen D. Hitch
Arbitrator(s): Richard L. Oates, Donald K. Eckhardt, Jerry L. Hooper
Hearing Site: Memphis, TN
| | $0 |
| 08-03942 | 11/13/2009 | Claimant(s): Nicholas Loeb
Claimant Lawyers(s): Nick Loeb
Respondent(s): Lawrence Caplan
Respondent Lawyers(s): Lawrence Paul Caplan
Arbitrator(s): James B. May, Stuart Harvey Ziegler, Thomas R. Noonan
Hearing Site: Boca Raton, FL
| | $0 |
| 08-04519 | 11/13/2009 | Claimant(s): Nick C. Dailey and Rose Marie Dailey
Claimant Lawyers(s): Rene J. Kern
Respondent(s): David Miller, Mutual Securities.
Respondent Lawyers(s): David R. Miller, Jason T. Dennett
Arbitrator(s): Robert D. Sussin, Grace L. Heyne, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-02990 | 11/12/2009 | Claimant(s): George Kostuch
Claimant Lawyers(s): Lee Bowie
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Michael T. Nobile, Donald Milo Helton, Charles H. Peterson
Hearing Site: New Orleans, LA
| | $0 |
| 08-03262 | 11/12/2009 | Claimant(s): Jose Orlando Aguirre, Williams Baina Antezana
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Hector Gallardo
Respondent Lawyers(s): Hector J. Gallardo
Arbitrator(s): Bernard Hornick, Gail E. Sasnett-Stauffer, James P. Ryan
Hearing Site: Orlando, FL
| | $876,774 |
| 08-04398 | 11/12/2009 | Claimant(s): Northern Oil and Gas.
Claimant Lawyers(s): Matthew T. Boos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): Douglas G. Plank, Emily F. Seesel, Duane W. Krohnke
Hearing Site: Minneapolis, MN
| | $875,352 |
