| 09-06699 | 12/14/2011 | Claimant(s): National Securities Corporation, Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): D. Dorsey
Respondent Lawyers(s): Bruce V. Schewe
Arbitrator(s): Frederick S. Duncan, Mark A. Myers, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
|  | $72,312 |
| 09-04093 | 03/08/2011 | Claimant(s): Emmett Carter
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): James Holdman, Penson Financial Services.
Respondent Lawyers(s): MacAllynn J. Achee, Mark G. Hanchet
Arbitrator(s): Daniel Eugene Bivins, Frederick S. Duncan, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $869,170 |
| 09-05246 | 01/11/2011 | Claimant(s): FTB, GC&KB Investments.
Claimant Lawyers(s): Stephen D. Marx
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas A. Roberts
Arbitrator(s): Robert H. Putnam, Frederick S. Duncan, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
| | $85,507 |
| 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 |
| 06-03335 | 05/02/2008 | Claimant(s): Joseph McDonald
Claimant Lawyers(s): George F. Riess
Respondent(s): A.G. Edwards & Sons., Scott Foreman
Respondent Lawyers(s): Matthew Salamon
Arbitrator(s): Frederick S. Duncan, Bobby M. Harges, Allen J. Krouse
Hearing Site: New Orleans, LA
| | $7,725 |
| 07-00724 | 03/07/2008 | Claimant(s): Michael Bodino, Paul Westervelt, Coker, Palmer, Phillips & Mullen.
Claimant Lawyers(s): E. Barney Robinson
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Patricia C. Diak
Arbitrator(s): Frederick S. Duncan, David T. Maddux, Kenneth I. Daniels
Hearing Site: Jackson, MS
| | |
