| 16-03277 | 07/28/2017 | Claimant(s): Thomas Kirk
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, W. Preston Martin
Arbitrator(s): Mark S. Foster
Hearing Site: Wichita, KS
| | |
| 15-00109 | 02/22/2017 | Claimant(s): Ellie Stoller, Lee Stoller
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): D. Bruce Shine, James A. McIntosh, L. Wilford Fuqua
Hearing Site: Nashville, TN
|  | Expungement |
| 14-02688 | 10/25/2016 | Claimant(s): Ana Galva Rodriguez, Josefa Rodriguez, Paula Rodriguez Rodriguez
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto Quinones-Rivera, W. Preston Martin
Arbitrator(s): Daniel J. Pagnano
Hearing Site: San Juan, PR
| | Expungement |
| 14-03281 | 05/26/2015 | Claimant(s): Theodore Longo
Claimant Lawyers(s): W. Preston Martin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): Frederick H. Bruce
Hearing Site: New Orleans, LA
| | |
| 13-02291 | 04/28/2015 | Claimant(s): Estate of Billie Sue Looney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Allan Weiss, J. Wesley Romine, Charles Carl Fridlin
Hearing Site: Birmingham, AL
| | $0 |
| 13-02381 | 02/20/2015 | Claimant(s): David Rose, Joanna Speed, Lawrence Rose, Clare Rose Trust, Zaillian Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): John E. Ohashi, June McLaughlin, Janice A. Salter
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00417 | 10/02/2012 | Claimant(s): David Berdeaux, William Grace
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Paul K. Barenholtz, Edward R. Niederriter, Robert G. O'Brien
Hearing Site: Birmingham, AL
| | $103,214 |
| 11-03241 | 02/22/2012 | Claimant(s): Heather Letts, Lindsey Abbott, Theresa Thompson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Pamela H. Roderick
Hearing Site: Birmingham, AL
| | $34,160 |
| 10-03384 | 12/09/2011 | Claimant(s): Daniel Dean, Judy Joachimi, Norman Marik, Patricia Hendricks, Carroll L. Joachimi, Thomas R. Dew
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Marvin J. Klein, Michael G. Clark, Nicholas Jason Enoch
Hearing Site: Nashville, TN
| | $48,260 |
| 10-01114 | 12/02/2011 | Claimant(s): Bill Manuel
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): W. Alex King
Hearing Site: Birmingham, AL
| | $25,000 |
