| 13-01000 | 03/04/2016 | Claimant(s): David Wender, Sam Owen, David F. Wender, M.D. IRA, Sam Bryan Owen, SEP IRA, Newborn Assoc. PA Salary Savings Plan
Claimant Lawyers(s): Frank Kim Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): John C. Burch, Mark A. Myers, James L. Warren
Hearing Site: Jackson, MS
|  | Expungement |
| 14-00439 | 02/08/2016 | Claimant(s): Richard Kingery
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Mark A. Myers, Stephen B. Agricola, James L. Warren
Hearing Site: Birmingham, AL
| | Expungement |
| 12-02257 | 07/24/2015 | Claimant(s): Barbara Carter Summers, Jeff Summers, M.D., Lon Lutz, Michael Winkelmann, Rahul Vohra, M.D. & Sherry Vohra, Joint
Claimant Lawyers(s): Frank "Kim" Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister III, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Mark A. Myers, John Paul Lusk, Susan G. Pinkston
Hearing Site: Jackson, MS
| | $2,382,850 |
| 14-03821 | 06/25/2015 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Woodley Bagwell
Respondent Lawyers(s): Woodley H. Bagwell
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
| 14-01963 | 03/31/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Fred Brown
Respondent Lawyers(s): Fred Ronald Brown
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
| 14-00107 | 06/20/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): John Cox
Respondent Lawyers(s): John Cox
Arbitrator(s): Mark A. Myers
Hearing Site: Oklahoma City, OK
| | |
| 11-04211 | 05/12/2014 | Claimant(s): Carlos Capacete
Claimant Lawyers(s): Judith Berkan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carlos Bobonis Gonzalez
Arbitrator(s): Martin A. Feigenbaum, Todd M. Saunders, Mark A. Myers
Hearing Site: San Juan, PR
| | |
| 12-02829 | 08/05/2013 | Claimant(s): John Morrow
Claimant Lawyers(s): John C. Morrow
Respondent(s): Terry Jones, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Richard G. Isaac, Mark A. Myers, Douglas E. Miller
Hearing Site: Jackson, MS
| | $0 |
| 12-00705 | 03/14/2013 | Claimant(s): Morgan Stanley, Morgan Stanley & Co.
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Michael Highfill
Respondent Lawyers(s): Lance Arney
Arbitrator(s): Mark A. Myers, James Kee Irvin, Richard J. Clement
Hearing Site: Jackson, MS
| | |
| 12-02716 | 01/22/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Thompson
Respondent Lawyers(s): Robert Sidney Thompson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
