| 21-01069 | 02/16/2022 | Claimant(s): Warren Gonzales
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
|  | Dismissed by Rule 12206 |
| 20-01541 | 02/24/2021 | Claimant(s): Francis Hayden
Claimant Lawyers(s): Gregory L. Smith
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Jim Geiger
Hearing Site: Louisville, KY
| | $300 |
| 16-03363 | 10/13/2017 | Claimant(s): Laney Stringer, The Estate of Rebecca Joyce Stringer
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Audie Rea, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Susan S. Bentley, Clare R. Goldfarb, Bruce W. Bennett
Hearing Site: Atlanta, GA
| | $90,000 |
| 13-02644 | 09/09/2015 | Claimant(s): Matthew Cason
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): D. Bruce Shine, William T. Bowen, Leigh Ann Roberts
Hearing Site: Nashville, TN
| | |
| 11-04569 | 07/09/2013 | Claimant(s): Allen Silk, Mary Silk, Allen B. Silk, IRA, SEP, Mary E. Silk SEP, Mary E. Silk
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Gary Spooner, Securities Service Network.
Respondent Lawyers(s): Gary Lee Spooner, Ryan R. Baker
Arbitrator(s): Earle J. Schwarz, Kenneth W. Shelley, Leigh Ann Roberts
Hearing Site: Jackson, MS
| | $308,656 |
| 11-03220 | 04/24/2013 | Claimant(s): Robert Chandler
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Robert Youdelman
Hearing Site: Memphis, TN
| | Expungement |
| 10-04170 | 09/10/2012 | Claimant(s): David DeBerry IRA, Rebecca DeBerry, IRA, David Keith DeBerry Irrevocable Trust I,, David Keith Deberry Irrevocable Trust II, DeBerry Revocable Living Trust, David an, Sharon Lynn DeBerry Irrevocable Trust I,, Sharon Lynn DeBerry Irrevocable Trust II, Sheila Ann DeBerry Lea Irrevocable Trust
Claimant Lawyers(s): Adam Nativ, Dale Ledbetter, George M. Fleming
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Douglas Edwards, George Frederick Garris, Dee Newell
Hearing Site: Las Vegas, NV
| | $0 |
| 09-00715 | 04/11/2012 | Claimant(s): Gary and Gail Whitener
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Elizabeth Gilbert, Christine Moore, Clifford Matthew Olson
Hearing Site: New Orleans, LA
| | $0 |
| 10-04627 | 06/07/2011 | Claimant(s): June S McAnally Revocable Living Trust
Claimant Lawyers(s): Robert Wayne McPherson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): James J. Ashe
Hearing Site: Memphis, TN
| | $213 |
| 10-04307 | 05/20/2011 | Claimant(s): Watkins Brothers Trust
Claimant Lawyers(s): Robert Wayne McPherson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Thomas C. McNally
Hearing Site: Memphis, TN
| | $0 |
