| 08-01068 | 09/14/2009 | Claimant(s): Joyce Wilfong
Claimant Lawyers(s): Jan D. Atlas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Gloria J Liddell, Eugene R. Katz, Patricia Best Vital
Hearing Site: Memphis, TN
|  | $108,648 |
| 09-00638 | 09/14/2009 | Claimant(s): Nancy C. Wood, Trustee
Claimant Lawyers(s): Nancy C. Wood
Respondent(s): Bill Kearney, Merrill Lynch Pierce Fenner & Smith Inc., Michael Phillip, Steven Neibert
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $213 |
| 08-00775 | 09/11/2009 | Claimant(s): Horace Grant
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): William J. Adams, Jonathan Schwartz, William Lee Krantz
Hearing Site: Los Angeles, CA
| | $1,460,000 |
| 08-02417 | 09/11/2009 | Claimant(s): Victor Chang, Victor Chang IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Richard J. Stall, Robert B. Moran, Grace L. Heyne
Hearing Site: Los Angeles, CA
| | $88,470 |
| 08-03409 | 09/10/2009 | Claimant(s): Sherry Seidman
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Cheryl L. Haas-Goldstein, Robert M. Brennan
Arbitrator(s): Joan Connolly Grafstein
Hearing Site: Atlanta, GA
| | $32,370 |
| 08-02307 | 09/09/2009 | Claimant(s): Elsie Kelly, Raymond Kelly, Raymond O's Kelly & Elsie M. Ke U/A dtd, Raymond O's Kelly Rev Liv Trust U/A dtd
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Paul H. Lamboley, Barry A. Mainardi, Darryl J. Horowitt
Hearing Site: Reno, NV
| | $100,080 |
| 07-03126 | 09/04/2009 | Claimant(s): Jerry Maye, Rita Maye
Claimant Lawyers(s): Rita H. Maye
Respondent(s): Mark Gandossy, Legacy Financial Services.
Respondent Lawyers(s): Derek C. Anderson, Michael J. Ernst
Arbitrator(s): Zeb E. Barnhardt, M. Bruce Adelberg, Robert S. Zuckerman
Hearing Site: Charlotte, NC
| | Settlement |
| 08-00736 | 09/03/2009 | Claimant(s): Rosemarie Riley
Claimant Lawyers(s): Lauren Topelsohn
Respondent(s): Mark Moskowitz, Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Mark Moskowitz
Arbitrator(s): Paul S. Biederman
Hearing Site: New York, NY
| | $213,964 |
| 08-01866 | 09/03/2009 | Claimant(s): Therist Theroit
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Keegan & Company., Regions Financial Corp.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Elton W. Chartrand, Philip P. Monteleone, Thomas Edmond Mingledorff
Hearing Site: New Orleans, LA
| | $0 |
| 08-02689 | 09/03/2009 | Claimant(s): Victoria Williamson
Claimant Lawyers(s): Richard R. Malone
Respondent(s): Monica Malhoit, Prudential Equity Group
Respondent Lawyers(s): John J. Murphy, William R. Ahern
Arbitrator(s): Benjamin B. Segel, Marianne L. Simpson, Ralph A. Beard
Hearing Site: Cleveland, OH
| | $0 |
