| 11-04506 | 05/28/2013 | Claimant(s): Dana Lang
Claimant Lawyers(s): Lee Bowie
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Arthur W. Pigott, John G. Manley, James L. Warren
Hearing Site: Jackson, MS
|  | $200,375 |
| 12-00809 | 05/28/2013 | Claimant(s): Fae Silver
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Paul H. Lamboley, Merrill Dean Taylor, John G. Manley
Hearing Site: Las Vegas, NV
| | Expungement |
| 09-01683 | 03/05/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jason Warner
Respondent(s): Robert Bailey
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): John G. Manley, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
| | |
| 11-00854 | 02/09/2012 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): John Goodson
Respondent Lawyers(s): John Goodson
Arbitrator(s): G. Brooks Euler, Arthur L. Tepper, John G. Manley
Hearing Site: Nashville, TN
| | |
| 10-02994 | 10/19/2011 | Claimant(s): Royce Thornton, Willie Thornton
Claimant Lawyers(s): Royce Thornton
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): John G. Manley
Hearing Site: Birmingham, AL
| | Expungement |
| 10-01997 | 06/29/2011 | Claimant(s): Anne Bradshaw
Claimant Lawyers(s): Jeff S. Daniel
Respondent(s): Wachovia Securities, Nancy Lipham
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): John G. Manley
Hearing Site: Birmingham, AL
| | $43,579 |
| 10-03782 | 06/01/2011 | Claimant(s): James J. Pine
Claimant Lawyers(s): R Brannon Kahlstorf
Respondent(s): Wells Fargo Advisors, Samuel Jew
Respondent Lawyers(s): Kermit L. Kendrick
Arbitrator(s): John G. Manley
Hearing Site: Memphis, TN
| | $225 |
| 09-00494 | 03/09/2010 | Claimant(s): Richard Shipman
Claimant Lawyers(s): Mark W. Pugsley
Respondent(s): Equitrust Marketing Services, Farm Bureau Life Insurance Company, Farm Bureau Mutual Insurance Company, Western Agricultural Insurance Company
Respondent Lawyers(s): James V. Garvey
Arbitrator(s): Langdon T. Owen, Michael Dean, John G. Manley
Hearing Site: Salt Lake City, UT
| | |
| 08-03676 | 02/22/2010 | Claimant(s): Mei-Fang Chan
Claimant Lawyers(s): Mei-Fang Chan
Respondent(s): Hugh Parish, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas A. Snyder, Steven P. Gregory, John G. Manley
Hearing Site: Birmingham, AL
| | $8,475 |
| 08-04292 | 02/12/2010 | Claimant(s): Tyler Smith
Claimant Lawyers(s): Bradley Wm. Bowen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Julia C. Webb
Arbitrator(s): Jesse Stuart Shackelford, Joel T. Marker, John G. Manley
Hearing Site: Salt Lake City, UT
| | |
