| 09-07259 | 10/29/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Michael D. Jones
Respondent(s): Daniel Petit
Respondent Lawyers(s): Daniel A. Petit
Arbitrator(s): Steven P. Gregory
Hearing Site: Atlanta, GA
| | |
| 09-04458 | 09/02/2010 | Claimant(s): George Trotter
Claimant Lawyers(s): George W. Trotter
Respondent(s): Christopher Miller, Park Avenue Securities LLC
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Steven P. Gregory, Charles W. Hill, Prince C. Chambliss
Hearing Site: Birmingham, AL
|  | Dismissed by Rule 12206 |
| 09-03614 | 08/02/2010 | Claimant(s): Curtis Pilot
Claimant Lawyers(s): Dawn Stith Evans
Respondent(s): Citigroup Global Markets., Webb Radcliff, Morgan Stanley Smith Barney (CRD#149777), Salomon Smith Barney (CRD # 7059)
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Kendall P. Hill, Steven P. Gregory, Marshal H. Emerson
Hearing Site: Birmingham, AL
| | Stipulated Award and Expungement |
| 08-04438 | 07/15/2010 | Claimant(s): Hossein Nilipour
Claimant Lawyers(s): Stephen D. Heninger
Respondent(s): TD Ameritrade., Jim Douglass
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven P. Gregory, Laree Payne Kennedy, Charles Lange Clark
Hearing Site: Birmingham, AL
| | Expungement |
| 08-03676 | 02/22/2010 | Claimant(s): Mei-Fang Chan
Claimant Lawyers(s): Mei-Fang Chan
Respondent(s): Hugh Parish, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas A. Snyder, Steven P. Gregory, John G. Manley
Hearing Site: Birmingham, AL
| | $8,475 |
| 08-02640 | 08/10/2009 | Claimant(s): Virginia G. Stevens & Ben R. Stevens
Claimant Lawyers(s): James C. Alison
Respondent(s): Gerald Hester, Colonial Brokerage.
Respondent Lawyers(s): Larry B. Childs
Arbitrator(s): Steven P. Gregory, Randy J. Johnston, Debra Black Leo
Hearing Site: Birmingham, AL
| | $0 |
| 07-01803 | 12/02/2008 | Claimant(s): Tranquilino Ventura, Hartford Fire Insurance Co.., Hartford Fire obo P. Dutton, Conservator
Claimant Lawyers(s): Richard E. Smith, Robert R. Hembree
Respondent(s): Hunter Bowen, Morgan Stanley DW Inc., Dean Witter Reynolds.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Steven P. Gregory, Joy L. Aldridge, Ronald Griffith Wilkins
Hearing Site: Birmingham, AL
| | Expungement |
| 07-03094 | 09/22/2008 | Claimant(s): Samuel Cole dba csafinancials.com
Claimant Lawyers(s): Samuel Cole
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Steven P. Gregory, David T. Maddux, Frank E. Barnett
Hearing Site: Nashville, TN
| | $0 |
| 07-01442 | 11/20/2007 | Claimant(s): Raymond Marine
Claimant Lawyers(s): Raymond S. Marine
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven P. Gregory
Hearing Site: New Orleans, LA
| | $175 |
