| 18-00376 | 10/16/2018 | Claimant(s): Marsha Neuenschwander
Claimant Lawyers(s): Marsha M. Neuenschwander
Respondent(s): Elsa Cazares, James Neuenschwander, Michael Neuenschwander
Respondent Lawyers(s): Robert E. Menje
Arbitrator(s): Robert H. Putnam, Michael J. Ahlstrom, Coleman Robert Perry
Hearing Site: Nashville, TN
|  | $0 |
| 16-03207 | 09/08/2017 | Claimant(s): Michael Jenkins, Edward D. Jones & Co..
Claimant Lawyers(s): Clinton J. Simpson
Respondent(s): Estate of Norma Johnson
Respondent Lawyers(s): Leslie Gates
Arbitrator(s): Muriel Desloovere, Gayle B. Carlson, Coleman Robert Perry
Hearing Site: Jackson, MS
| | Expungement |
| 15-01537 | 04/21/2016 | Claimant(s): Francis Freeman
Claimant Lawyers(s): Vincent J. Booth
Respondent(s): Wells Fargo Advisors, David Matty
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Lawrence R. Maxwell, Coleman Robert Perry, Michael S. Yauch
Hearing Site: Dallas, TX
| | $0 |
| 14-01728 | 04/02/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette P Morales
Respondent(s): John l. Norris Rollover, Vivianne Norris IRA Rollover, John L. Norris and Vivianne Norris JT TE
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Coleman Robert Perry, C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 13-03438 | 02/11/2015 | Claimant(s): Patrick Broome
Claimant Lawyers(s): Whitman B. Johnson
Respondent(s): Paxton Farese, Sound Financial Strategies Group, The Farese Group
Respondent Lawyers(s): Mark D. Griffin, Patrick F. McAllister
Arbitrator(s): Richard C. Downing, Coleman Robert Perry, Onnig Hatchig Dombalagian
Hearing Site: Jackson, MS
| | |
| 13-01667 | 02/10/2015 | Claimant(s): John Frencl
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Lisa Shusterman, Coleman Robert Perry, Billy G. Hopkins
Hearing Site: Louisville, KY
| | Expungement |
| 11-04101 | 11/08/2012 | Claimant(s): ING Financial Partners., ING Life Insurance and Annuity Company
Claimant Lawyers(s): Steven E Mellen
Respondent(s): Jeanie O'Daniel
Respondent Lawyers(s): Stephen G. Amato
Arbitrator(s): Barbara Black, Coleman Robert Perry, Linda W. Hester
Hearing Site: Louisville, KY
| | |
| 07-02602 | 08/15/2008 | Claimant(s): A. Ray
Claimant Lawyers(s): Walter W. Bussart
Respondent(s): James Bratcher, Securities Service Network.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): D. Bruce Shine, Coleman Robert Perry, Richard K. Smith
Hearing Site: Nashville, TN
| | Dismissed by Rule 12206 |
| 07-00587 | 05/15/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jerad Rissler
Respondent(s): Jon Ladd
Respondent Lawyers(s): Kenneth R. Jones
Arbitrator(s): Eugene R. Katz, Coleman Robert Perry, Richard Lee Matthews
Hearing Site: Nashville, TN
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