16-01810 | 04/26/2018 | Claimant(s): HCM Consulting, The HCM Consulting. Pension Plan Claimant Lawyers(s): Richard Kyle Gavin Respondent(s): Wells Fargo Advisors, John Crockenberg, Mark Hoffman Respondent Lawyers(s): Benjamin J. Biard, Beverly Jo Slaughter Arbitrator(s): Muriel Desloovere, Marshal H. Emerson, David Henry Samson Hearing Site: Jacksonville, FL
| | $76,257 |
11-03906 | 12/10/2012 | Claimant(s): AXA Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Ronny Powell Respondent Lawyers(s): Ronny W. Powell Arbitrator(s): Marshal H. Emerson, John F. O'Neill, David Freeman Hearing Site: Birmingham, AL
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09-03614 | 08/02/2010 | Claimant(s): Curtis Pilot Claimant Lawyers(s): Dawn Stith Evans Respondent(s): Citigroup Global Markets., Webb Radcliff, Morgan Stanley Smith Barney (CRD#149777), Salomon Smith Barney (CRD # 7059) Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Kendall P. Hill, Steven P. Gregory, Marshal H. Emerson Hearing Site: Birmingham, AL
| | Stipulated Award and Expungement |
08-01066 | 06/26/2009 | Claimant(s): Claude Jones Claimant Lawyers(s): H. Naill Falls Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Meredith M. Thompson Arbitrator(s): Beverly S. Gordon, Marshal H. Emerson, A.J. Seier Hearing Site: Tampa, FL
| | $0 |
07-01743 | 11/05/2008 | Claimant(s): General Investments. Claimant Lawyers(s): Thomas D. Jackson Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Diana A. Weiner, Gail E. Sasnett-Stauffer, Marshal H. Emerson Hearing Site: Tampa, FL
| | $0 |
07-01995 | 09/05/2008 | Claimant(s): Mike Dalton Claimant Lawyers(s): Mike Dalton Respondent(s): GunnAllen Financial. Respondent Lawyers(s): William J. Schifino Arbitrator(s): Jerrold E. Slutzky, Neal J. Tourdo, Marshal H. Emerson Hearing Site: Tampa, FL
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07-03542 | 07/14/2008 | Claimant(s): Donna Pierce Claimant Lawyers(s): Charles M. Thompson Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): John Starnes Arbitrator(s): Irving M. Shlesinger, Marshal H. Emerson, Cheung David Chhieng Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
06-03861 | 11/15/2007 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Demian Betz Respondent(s): James Tuberosa Respondent Lawyers(s): Zachary D. Messa Arbitrator(s): Marshal H. Emerson, Marcy R. Greer, Robert Kevin O'Mara Hearing Site: Tampa, FL
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