| 14-01732 | 05/04/2015 | Claimant(s): Ari Litvin
Claimant Lawyers(s): Joshua D. Jones
Respondent(s): Wells Fargo Advisors, Dorothy Crawford, F. Patrick Owen, Laurie Conkin
Respondent Lawyers(s): Joshua D. Jones, Kip A. Nesmith, Lisa Braganca
Arbitrator(s): Douglas E. Miller
Hearing Site: Memphis, TN
| | Expungement |
| 13-02800 | 04/06/2015 | Claimant(s): Cage Carruthers
Claimant Lawyers(s): Charles D. Reaves
Respondent(s): Ari Litvin, Wachovia Securities
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Yvonia A. Foster, J. Maxwell Williams, William Graves Hardwick
Hearing Site: Memphis, TN
| | |
| 14-02458 | 04/02/2015 | Claimant(s): Commonwealth Financial Network
Claimant Lawyers(s): Joe Tully
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): J. Maxwell Williams
Hearing Site: Memphis, TN
| | |
| 13-01179 | 01/28/2015 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Aaron S. Furniss
Respondent(s): KeyBank National Association
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Laila Asmar Folk, William B. James, David Cottingham Mann
Hearing Site: Memphis, TN
| | |
| 14-01778 | 01/15/2015 | Claimant(s): Thomas Barnett
Claimant Lawyers(s): Thomas F. Barnett
Respondent(s): Morgan Keegan & Company., Raymond, James & Associates.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): D. Bruce Shine
Hearing Site: Memphis, TN
| | |
| 13-02292 | 11/26/2014 | Claimant(s): Charlotte Lucas, Samuel Lucas
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Cindy D. Hinkle
Arbitrator(s): Elton W. Chartrand
Hearing Site: Memphis, TN
|  | $46,048 |
| 13-01484 | 05/30/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Blake L. Daniels
Respondent(s): Michael Winemiller
Respondent Lawyers(s): Michael Eugene Winemiller
Arbitrator(s): J. Maxwell Williams
Hearing Site: Memphis, TN
| | |
| 13-02966 | 05/15/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph L. Gordon
Respondent(s): Greg Snider
Respondent Lawyers(s): Greg W. Snider
Arbitrator(s): Earle J. Schwarz
Hearing Site: Memphis, TN
| | |
| 12-03453 | 01/02/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas K. Potter
Respondent(s): David Dunavant
Respondent Lawyers(s): David Robert Dunavant
Arbitrator(s): Eric Spencer Buchanan, Leslie T. Hanna, Jeff Mueller
Hearing Site: Memphis, TN
| | |
| 11-04614 | 07/22/2013 | Claimant(s): Kenneth Finnegan, Nancy Gouffon, Nancy F. Gouffon, C/F, Kenneth M. Finnegan, IRA, Nancy F. Gouffon IRA, ROTH IRA
Claimant Lawyers(s): Howard B Prossnitz
Respondent(s): Morgan Keegan & Co..
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Julia Rota, Kirtley M. Thiesmeyer, Marvin L. Schuldiner
Hearing Site: Memphis, TN
| | $0 |
