| 08-01659 | 05/01/2009 | Claimant(s): A.B. Cover Trust, Herbert Cover III,Ttee
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Catherine E. Garas
Arbitrator(s): Jane C. Carney, Frank Warren Moore, Donita M. King
Hearing Site: Richmond, VA
|  | $61,000 |
| 08-02928 | 05/01/2009 | Claimant(s): Brad Kuhlmann
Claimant Lawyers(s): John J. Miller
Respondent(s): Kenneth Bonal, Robert Glynn, William Athas, Liberty Partners Financial Services
Respondent Lawyers(s): Mark G. Vaughan, Robert Stephen Glynn
Arbitrator(s): Donald B. Clark, Joseph M. Rebein, Gerald Francis Lamberti
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
| 07-03259 | 05/01/2009 | Claimant(s): Estate of Sarah E. Faulk
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): George Wood, Morgan Keegan & Company., Todd Parsons, Woodley Bagwell, Synovus Securities.
Respondent Lawyers(s): Charles B. Paterson, Richard J. Davis, Shea O'Brien Hicks
Arbitrator(s): John F. O'Neill, William Stephen Lee, William Acker Ratliff
Hearing Site: Birmingham, AL
| | $0 |
| 08-01231 | 04/30/2009 | Claimant(s): James O'Rorke
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Charles Schwab & Co.., Mark Haenny
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): Thaddeus J. Tecza, Marilyn R. Lewis, Patricia Mary Vondra
Hearing Site: Denver, CO
| | $33,124 |
| 08-00988 | 04/29/2009 | Claimant(s): Kimberly Arntz, Neil Arntz, Neil J. Arntz, Custodian for Rio A.Arnt, Arntz Family Trust
Claimant Lawyers(s): David Gaba
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Jeanne C. Stilwell, G. E. Craig Doupe, Linda I. Thomas
Hearing Site: Seattle, WA
| | $48,879 |
| 08-03222 | 04/29/2009 | Claimant(s): William Stackpole
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): Michael G. Hanlon
Hearing Site: Boise, ID
| | $2,531 |
| 08-04259 | 04/29/2009 | Claimant(s): Emery Sher
Claimant Lawyers(s): Emery P. Sher
Respondent(s): Stifel, Nicolaus & Co.., Kirk Cleland, Matthew Kyler
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
| | $4,979 |
| 08-00821 | 04/29/2009 | Claimant(s): David Rademacher
Claimant Lawyers(s): Gene Mitchell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Brad Rounsaville
Arbitrator(s): Frederick S. Duncan, W. Patrick Baker, Elton W. Chartrand
Hearing Site: New Orleans, LA
| | $0 |
| 08-02373 | 04/28/2009 | Claimant(s): Katharine Murphy
Claimant Lawyers(s): Richard Pratt
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly Moynihan
Arbitrator(s): Amy Seltzer
Hearing Site: San Francisco, CA
| | $0 |
| 08-02515 | 04/28/2009 | Claimant(s): Pearl Marsh
Claimant Lawyers(s): Frederick K. Sharpless
Respondent(s): Wachovia Securities, Ronald Clinard
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Susan L. Luck, Mary B. Campbell, Denise L. Presley
Hearing Site: Charlotte, NC
| | $0 |
