| 09-06760 | 04/07/2011 | Claimant(s): Hathaway Family Holdings, LLP, David S.
Claimant Lawyers(s): John Flanders Kennedy
Respondent(s): Dearing Stone, Morgan Stanley
Respondent Lawyers(s): Hugo A. Hilgendorff, R Hal Meeks
Arbitrator(s): Robert N. Leitch, Susan S. Bentley, Gary J. Leshaw
Hearing Site: Atlanta, GA
|  | Expungement |
| 09-06845 | 03/23/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shepherd D. Tate
Respondent(s): Michael Cain
Respondent Lawyers(s): Raymond L. Moss
Arbitrator(s): Judith Stilz Ogden, Robert L. Lestina, David Blair Sinyard
Hearing Site: Atlanta, GA
| | |
| 09-06429 | 03/22/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Hopkins
Respondent Lawyers(s): John H. Ridley
Arbitrator(s): J. Maxwell Williams
Hearing Site: Atlanta, GA
| | |
| 10-00145 | 03/09/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Homer Vining
Respondent Lawyers(s): Homer Vining
Arbitrator(s): Hugh J. Moore
Hearing Site: Atlanta, GA
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| 10-03979 | 03/02/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Priscilla Jones
Respondent Lawyers(s): Priscilla Ann Jones
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | |
| 09-04497 | 03/02/2011 | Claimant(s): Ann Whatley, Bryan Matz, David Yurko, Dawn Funari, Elizabeth Daugherty, Elizabeth Evans, Frank Carter, Helen Reynolds, John Evans, Kathleen Lowe, Katrina Yurko, Kevin Phillips, Kevin Riley, Marcus Funari, Marissa Yurko, Melvin Drukman, Michael Reynolds, Patricia Carter, R. Janet Ridlen, Rita McGinley, et al
Claimant Lawyers(s): John Chapman
Respondent(s): Stephen Wild, Proequities.
Respondent Lawyers(s): Melinda L. Peevy, William G Leonard
Arbitrator(s): Robert A. Dean, Dimitri Angelo Dodys, Alan C. Granath
Hearing Site: Atlanta, GA
| | $187,600 |
| 10-03464 | 02/17/2011 | Claimant(s): Ruth Goldstein
Claimant Lawyers(s): Ruth D. Goldstein
Respondent(s): James Webb, Kathi Mansfield, Cape Securities Inc.
Respondent Lawyers(s): Melissa Malcom
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 10-04368 | 02/03/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): John Stroud
Respondent Lawyers(s): John David Stroud
Arbitrator(s): Mark A. Myers
Hearing Site: Atlanta, GA
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| 10-03661 | 02/02/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Lee Jenkins
Respondent Lawyers(s): Lee Allen Jenkins
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 10-04156 | 01/28/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Christopher Wilson
Respondent Lawyers(s): Christopher J. Wilson
Arbitrator(s): Alan Stamm
Hearing Site: Atlanta, GA
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