| 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 |
| 13-00850 | 08/21/2015 | Claimant(s): Elizabeth Simpson, Elizabeth Winkelmann, Kimberly Odom, Nancy Clark, Billy P. Simpson, IRA, Charles W. Randall SEP IRA, Cynthia Winkelmann, Elizabeth H. Simpson, Richard B. Durgin, Rita Randall, Billy Simpson and Elizabeth Simpson
Claimant Lawyers(s): Joseph C. Peiffer
Respondent(s): Annette Dubose, Christa Garrett, Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Stephen H. Biller, Angelia J. Tolbert, Barbara Carraway Dogan
Hearing Site: Jackson, MS
| | 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 |
| 13-00880 | 06/11/2015 | Claimant(s): Chris Ethridge, Jesse Ethridge, Mark Shapley, Jesse C. Ethridge, IRA, Mississippi Sports Medicine 401(K) Plan, Amy Hatchett and Brad Hatchett, JT TEN
Claimant Lawyers(s): Frank "Kim" Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Patrice L. Stewart, Stephen H. Biller, James L. Warren
Hearing Site: Jackson, MS
| | Expungement |
| 10-04407 | 12/06/2013 | Claimant(s): Guadalupe Sandoval, Javier Chavez, Jose Fuentes, Maria Conchita Alonso, Roberto I. Nogales
Claimant Lawyers(s): Joseph C. Peiffer
Respondent(s): Rafael Sanchez, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kenneth C. Mennemeier, Rafael R. Sanchez
Arbitrator(s): Michael D. Harrison, Neil S. Jasper, Daniel Su
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 03-03322 | 03/30/2012 | Claimant(s): F. David and Gloria R. Tutt
Claimant Lawyers(s): Joseph C. Peiffer
Respondent(s): Lawrence Clasby, Clasby Investment Management.
Respondent Lawyers(s): Corporate Legal Department, Lawrence A. Clasby
Arbitrator(s): Ron C. Christner, Michael F. Brown, Robert S. Rooth
Hearing Site: New Orleans, LA
| | $1,200,300 |
