| 12-02762 | 02/21/2014 | Claimant(s): Sandra J. Smith, IRA
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Allan Weiss
Hearing Site: Nashville, TN
|  | Expungement |
| 13-01591 | 12/03/2013 | Claimant(s): Thomas E. Szmurlo, IRA
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert L. Agusto
Hearing Site: Chicago, IL
| | $31,353 |
| 13-00872 | 10/29/2013 | Claimant(s): Loresa C. Bell, IRA
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Niel Prosser
Arbitrator(s): Paul D. Gutierrez
Hearing Site: New Orleans, LA
| | $20,659 |
| 13-00986 | 09/25/2013 | Claimant(s): Velma H. Petty, IRA
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert S. McConnell
Hearing Site: Birmingham, AL
| | $44,262 |
| 11-04614 | 07/22/2013 | Claimant(s): Kenneth Finnegan, Nancy Gouffon, Nancy F. Gouffon, C/F, Kenneth M. Finnegan, IRA, Nancy F. Gouffon IRA, ROTH IRA
Claimant Lawyers(s): Howard B Prossnitz
Respondent(s): Morgan Keegan & Co..
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Julia Rota, Kirtley M. Thiesmeyer, Marvin L. Schuldiner
Hearing Site: Memphis, TN
| | $0 |
| 12-01649 | 07/16/2013 | Claimant(s): Dorie J. Hairfield, IRA, Edmond F. Christian, Richard E. Hairfield
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): James Cosby
Arbitrator(s): Stuart H. Dunn, Jane C. Carney, Norman L. Hancock
Hearing Site: Richmond, VA
| | $817,116 |
| 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 |
| 12-00187 | 06/14/2013 | Claimant(s): Henry Hansen, Henry F. Hansen, IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02041 | 06/05/2013 | Claimant(s): Robert Schadewald, IRA
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Edward F. Koren, Shelley J. Michaels, Mary E. Mabry
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-03463 | 05/31/2013 | Claimant(s): Joanna N. Sobran, IRA
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Julie Casserly
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
