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FINRA Awards for George Sullivan

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0342407/02/2014Claimant(s): Morgan Stanley, Stephen Daughdrill
Claimant Lawyers(s): Julie Wilson Portera
Respondent(s): George Sullivan
Respondent Lawyers(s): P. Bradley Murray
Arbitrator(s): Allen J. Krouse
Hearing Site: Birmingham, AL
Expungement
10-0553903/16/2012Claimant(s): David Flaat, Linda Flaat, David L. Flatt Rev. Trust, Linda M. Flaat Rev Trust
Claimant Lawyers(s): David Flaat
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George Sullivan
Arbitrator(s): Linda M. Granata, Nancy J. Cliff, Philip L. Manczak
Hearing Site: Ft. Lauderdale, FL
Checkmark IconDismissed by Rule 12504
09-0343702/17/2012Claimant(s): Mary Rote, William Rote, E.W. Jamison Living Trust dtd 3/28/92
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George Sullivan
Arbitrator(s): Joel P. Mellis, Randolph Guggenheimer, Ronald F. Rosner
Hearing Site: Memphis, TN
Checkmark Icon$400,000

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