| 12-01650 | 10/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Eric Johnson
Respondent Lawyers(s): Eric David Johnson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
| 11-00906 | 08/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): William Cross
Respondent Lawyers(s): Frank Breese
Arbitrator(s): Arthur W. Pigott, Mark A. Myers, James E. Bolin
Hearing Site: Jackson, MS
| | |
| 11-03913 | 06/11/2012 | Claimant(s): Daniel Davis, Jerome Skow
Claimant Lawyers(s): Michael C. Moran
Respondent(s): Patricia Rugg, Stephen Rugg
Respondent Lawyers(s): Patricia A. Rugg, Stephen H. Rugg
Arbitrator(s): Mark A. Myers
Hearing Site: Jackson, MS
| | Expungement |
| 10-05261 | 02/15/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janell M. Ahnert
Respondent(s): Rosalyn Gray
Respondent Lawyers(s): Rosalyn Gray
Arbitrator(s): Thomas L. Maschmeyer, Hal F. Lewis, Mark A. Myers
Hearing Site: Memphis, TN
| | |
| 10-05503 | 01/05/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen Burns
Respondent(s): William Fraley
Respondent Lawyers(s): William C. Fraley
Arbitrator(s): Mark A. Myers, Daniel T. Hull, Suzette Merriam Foster
Hearing Site: Birmingham, AL
| | |
| 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 |
| 10-00274 | 11/08/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Cantu
Respondent(s): Allen Isenberg
Respondent Lawyers(s): Allen R. Isenberg
Arbitrator(s): Mark A. Myers
Hearing Site: Dallas, TX
| | |
| 09-06066 | 10/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Christopher St. Laurent
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Mark A. Myers, Jeff Kilgore, Carlton A. Butler
Hearing Site: Houston, TX
| | |
| 10-04246 | 09/16/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Larry Lipka
Respondent(s): Richard Turnley
Respondent Lawyers(s): Richard Turnley
Arbitrator(s): Mark A. Myers
Hearing Site: Atlanta, GA
| | |
| 11-00700 | 09/13/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): Kamran Nezami
Respondent Lawyers(s): Aaron G. Ries
Arbitrator(s): Mark A. Myers
Hearing Site: Houston, TX
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