| 11-00790 | 11/20/2013 | Claimant(s): John Ginsburg
Claimant Lawyers(s): Daniel J. Goldberg
Respondent(s): Christa Burgett, Morgan Stanley, Lisa Creegan, Manny Canales, Mary Mullis
Respondent Lawyers(s): Nancy L. Patterson
Arbitrator(s): W. Merrill Glasgow, Jerry C. Prestridge, Carol Akers Klug
Hearing Site: Houston, TX
| | |
| 09-02552 | 11/14/2011 | Claimant(s): Fleming Endowment, Pelican Holdings, Ltd.
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): M. Jason Hale
Arbitrator(s): Karen Settle Newton, Jerry C. Prestridge, Alan M. Holzberg
Hearing Site: Houston, TX
|  | $889,340 |
| 11-00045 | 10/25/2011 | Claimant(s): Michael Mohan
Claimant Lawyers(s): Joseph P. Webber
Respondent(s): Citigroup Global Markets., Morgan Stanley, Robert Marwill, Steven Mechlowicz
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): James E. Schlottmann, Jerry C. Prestridge, Bertrand C. Moser
Hearing Site: Houston, TX
| | $674,755 |
| 09-00364 | 11/09/2010 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Betsy Perryman, Matthew Marcom
Respondent Lawyers(s): Royal Lea
Arbitrator(s): Jerry C. Prestridge, Richard F. Dole, Charles A. Bankston
Hearing Site: Houston, TX
| | |
| 08-00082 | 05/14/2010 | Claimant(s): Eugene O. Jones and Joy F. Jones
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Slowey, Edward Puttick, Advanced Planning Securities.
Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan
Arbitrator(s): John J. Meyer, Jerry C. Prestridge, David Walton Earle
Hearing Site: New Orleans, LA
| | Stipulated Award |
