| 17-01630 | 05/06/2019 | Claimant(s): Brian Windham, Cynthia Newsom, Debra Hodge, Dennis Newsom, Edgar Fellows, Larry Newsom, Linda Byrd, Mel McCoy, Merle Smith, Patricia Roberts, Patsy Harveston, Sheila Chain, Thomas Dees, Connie Saxton IRA, Debra Hodge IRA, Dennis Newsom IRA and Roth IRA, Elaine Moss IRA, Hal Moss IRA, Jackie Boteler IRA, Larry Newsom IRA, et al
Claimant Lawyers(s): Judson Lee
Respondent(s): Logan Phillips, Morgan Keegan & Company, Raymond, James & Associates.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Mark A. Myers, James L. Warren, Theodore Haynes
Hearing Site: Jackson, MS
|  | $1,790,000 |
| 16-02759 | 12/28/2018 | Claimant(s): Denise Badgerow
Claimant Lawyers(s): Amanda J. Butler
Respondent(s): Gregory Walters, Ameriprise Financial Services., Ray Trosclair, Thomas Meyer
Respondent Lawyers(s): Claude F. Reynaud, Melissa Raphan, Thomas A. Roberts
Arbitrator(s): James L. Warren, Mario Alberto Arteaga, Joseph Michael Prisco
Hearing Site: New Orleans, LA
| | |
| 15-02536 | 02/23/2018 | Claimant(s): Angel Cruz Colon, Betzaida Hernandez, Carmen Ortiz Nevarez, Hector Rodriguez-Lopez, Myrna Rivera Marengo, William Reyes
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Nikolas S. Komyati, Roberto C. Quinones-Rivera
Arbitrator(s): James L. Warren, Theodore Haynes, Carol Denise Phelps
Hearing Site: San Juan, PR
| | $521,075 |
| 16-01328 | 02/15/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Taylor
Respondent Lawyers(s): James Crosby Taylor
Arbitrator(s): Robert A. Dean, James L. Warren, John Andrew Johnson
Hearing Site: Birmingham, AL
| | |
| 16-00917 | 05/02/2017 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Dudley Dupuis, Wells Fargo Advisors, Llc
Respondent Lawyers(s): Victor Hayslip
Arbitrator(s): Steven P. Gregory, Mark A. Myers, James L. Warren
Hearing Site: Birmingham, AL
| | |
| 15-02121 | 12/09/2016 | Claimant(s): Jose Fernandez, Marixa Hernandez
Claimant Lawyers(s): Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones
Arbitrator(s): Richard H. Potter, James L. Warren, Matthew Stephen Duchesne
Hearing Site: San Juan, PR
| | $391,476 |
| 13-01000 | 03/04/2016 | Claimant(s): David Wender, Sam Owen, David F. Wender, M.D. IRA, Sam Bryan Owen, SEP IRA, Newborn Assoc. PA Salary Savings Plan
Claimant Lawyers(s): Frank Kim Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): John C. Burch, Mark A. Myers, James L. Warren
Hearing Site: Jackson, MS
| | Expungement |
| 14-00439 | 02/08/2016 | Claimant(s): Richard Kingery
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Mark A. Myers, Stephen B. Agricola, James L. Warren
Hearing Site: Birmingham, AL
| | Expungement |
| 14-02287 | 08/21/2015 | Claimant(s): Charles Prine, TTEE
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): John G. Manley, Maria Aguilar Icaza, James L. Warren
Hearing Site: Jackson, MS
| | $0 |
| 13-00880 | 06/11/2015 | Claimant(s): Chris Ethridge, Jesse Ethridge, Mark Shapley, Jesse C. Ethridge, IRA, Mississippi Sports Medicine 401(K) Plan, Amy Hatchett and Brad Hatchett, JT TEN
Claimant Lawyers(s): Frank "Kim" Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Patrice L. Stewart, Stephen H. Biller, James L. Warren
Hearing Site: Jackson, MS
| | Expungement |
