| 11-01902 | 11/16/2012 | Claimant(s): Yieldquest Securities
Claimant Lawyers(s): Simon Miller
Respondent(s): David Summers, Joseph Patire, Morgan Keegan & Company., William Nelson
Respondent Lawyers(s): Charles M. Dalziel, Shea O'Brien Hicks
Arbitrator(s): John C. Yeoman, Philip Michael Moran, Nicholas John Reiter
Hearing Site: Atlanta, GA
| | |
| 10-05020 | 06/20/2012 | Claimant(s): Raymond Kowalewski
Claimant Lawyers(s): Charles M. Dalziel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Matthew Simpson
Arbitrator(s): Daniel E. Gulden, Joyce F. Glucksman, Robert Payne Koven
Hearing Site: Atlanta, GA
| | |
| 09-03002 | 03/14/2011 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): Morgan Keegan & Company., Todd Rozzo
Respondent Lawyers(s): Charles M. Dalziel, Marc S. Dobin
Arbitrator(s): Allen Kilik, Ellen J. Abrams, Ronald J. Kovack
Hearing Site: Boca Raton, FL
| | |
| 09-04338 | 03/10/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Charles M. Dalziel
Respondent(s): Diana Swan
Respondent Lawyers(s): Thomas R. Mason
Arbitrator(s): Stephen Z. Frank, B. J. Krintzman, John H. Foster
Hearing Site: Boston, MA
|  | $0 |
| 09-04239 | 07/02/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Charles M. Dalziel
Respondent(s): Robert McLellan
Respondent Lawyers(s): Michael A. Collora
Arbitrator(s): June Y. Kilmarx, Tom L. Peterson, Amy Lampert
Hearing Site: Boston, MA
| | $0 |
| 09-02820 | 04/09/2010 | Claimant(s): Connie Lee
Claimant Lawyers(s): Jason R. Doss
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Charles M. Dalziel
Arbitrator(s): Robert W. Kneeland
Hearing Site: Atlanta, GA
| | $53,133 |
| 06-03794 | 11/02/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): David Mulford
Respondent Lawyers(s): Charles M. Dalziel
Arbitrator(s): A. Keith Logue, Sabrina Raquel Scott, Connie E. Balliet
Hearing Site: Atlanta, GA
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