| 17-02830 | 11/06/2018 | Claimant(s): Beth Rowlett, Carter Towne, Donna Lester, James Thannum, Janice Jeffrey, Judy Wormser, Margaret Bryant, Mary Jo Kearfort, Robert Burns, Steve Beaulieu, Thomas Scherer, Vicki Currie, Virginia Scherer
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): John P. Cullem, Patricia Best Vital, Robert Stewart Barney
Hearing Site: Memphis, TN
|  | $0 |
| 17-00734 | 03/20/2018 | Claimant(s): Kevin Kimery
Claimant Lawyers(s): Eric Litow
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Stephen H. Biller
Hearing Site: Memphis, TN
| | |
| 17-01395 | 01/11/2018 | Claimant(s): John Santi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): John B. Roe
Hearing Site: Memphis, TN
| | |
| 16-02841 | 12/13/2017 | Claimant(s): Invest Financial Corporation
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Mark Winburne
Respondent Lawyers(s): Mark Edward Winburne
Arbitrator(s): Langfred W. White
Hearing Site: Memphis, TN
| | |
| 14-03102 | 08/31/2017 | Claimant(s): Estate of Margie R. Gerrard
Claimant Lawyers(s): Scott T. Beall
Respondent(s): James Gunn, Louis Zemek, Edward Jones
Respondent Lawyers(s): Clinton J. Simpson, Roy O. Parker
Arbitrator(s): Thomas L. Maschmeyer, Patricia Best Vital, Walter Phillip Scott
Hearing Site: Memphis, TN
| | Expungement |
| 15-03410 | 07/20/2017 | Claimant(s): Elliot Wender, Penina Wender, Elliot and Penina Wender Revocable Trust
Claimant Lawyers(s): Ross E. Webster, Saul Belz
Respondent(s): Justin Berman, Berman Capital Advisors, Massey, Quick & Co.
Respondent Lawyers(s): John M. Gross, Ramsey A. Knowles
Arbitrator(s): Gregory D. Hoffmann, Robert W. Kneeland, Avery B. Goodman
Hearing Site: Memphis, TN
| | $50,000 |
| 14-03275 | 05/27/2016 | Claimant(s): Niles Christodoulidis
Claimant Lawyers(s): Larry E Parrish
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): John G. Manley, Robert Alexander McLean, Robert Stewart Barney
Hearing Site: Memphis, TN
| | |
| 15-01525 | 05/23/2016 | Claimant(s): Toya Williams
Claimant Lawyers(s): Toya Elaine Williams
Respondent(s): Charles Winfrey
Respondent Lawyers(s): John A. Beam
Arbitrator(s): Stuart Sinai
Hearing Site: Memphis, TN
| | Dismissed by Rule 12206 |
| 14-03171 | 02/19/2016 | Claimant(s): Ivan Rodriguez
Claimant Lawyers(s): Samuel Rodriguez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Kenneth M. Jackson, Melva J. Harmon, Robert Stewart Barney
Hearing Site: Memphis, TN
| | |
| 14-03592 | 12/21/2015 | Claimant(s): Ryan Coombs
Claimant Lawyers(s): Earle J. Schwarz
Respondent(s): Duncan-Williams.
Respondent Lawyers(s): Lori H. Patterson
Arbitrator(s): John G. Manley
Hearing Site: Memphis, TN
| | |
