| 19-01448 | 10/31/2019 | Claimant(s): Joseph Bollinger
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Langfred W. White, Stuart K. Furman, Robert E. Graves
Hearing Site: Jackson, MS
| | |
| 14-02679 | 10/20/2015 | Claimant(s): Michael C. Shean, IRA, Suzanne T. Shean, Marcus Wallace or Melinda Wallace
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Christopher Fulco, Edward Zelezen, Pershing LLC, John Ward, Ronald Artzi
Respondent Lawyers(s): Elizabeth F. Edwards
Arbitrator(s): Ron C. Christner, Robert E. Graves, Brian P. Jakes
Hearing Site: Jackson, MS
|  | Expungement |
| 10-01746 | 02/17/2012 | Claimant(s): William Featheringill
Claimant Lawyers(s): Rebecca A. Beers
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): A. Kelly Brennan Bolvig
Arbitrator(s): Allan Weiss, James Francis Donovan, Robert E. Graves
Hearing Site: Birmingham, AL
| | $1,950,300 |
| 08-03152 | 10/27/2009 | Claimant(s): Hazel Simpson
Claimant Lawyers(s): Jason A. Richardson
Respondent(s): Ryan Orlando, Interactive Brokers
Respondent Lawyers(s): John J. Nielands, Ryan M. Orlando
Arbitrator(s): Richard C. Downing, Robert E. Graves, Lydia M. Quarles
Hearing Site: Jackson, MS
| | $997,982 |
| 08-03042 | 05/29/2009 | Claimant(s): J. Ross, Richard Ross
Claimant Lawyers(s): Jeffrey S. Evans
Respondent(s): Chris Erlewine, Curtis Ritter, E*Trade Securities LLC, Rod Webb
Respondent Lawyers(s): John Bersin, Lonnie L. Simpson
Arbitrator(s): Mark A. Myers, Robert E. Graves, Jeff A. Weill
Hearing Site: Jackson, MS
| | Stipulated Award and Expungement |
| 08-00574 | 05/14/2009 | Claimant(s): Gerald Humphries
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Edward B. Scott, J. Maxwell Williams, Robert E. Graves
Hearing Site: Jackson, MS
| | $285,222 |
| 07-02010 | 06/12/2008 | Claimant(s): Howard Brazil, J.D. Russell, Joyce Russell, Keith Grice, Roger Weed, Estate of J. Max Grice
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): W. William Harness, Donald Milo Helton, Robert E. Graves
Hearing Site: Birmingham, AL
| | $232,965 |
| 07-01882 | 05/28/2008 | Claimant(s): Robert Forsyth, William Forsyth
Claimant Lawyers(s): Charles A. McCallum
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Shea O'Brien Hicks, Stephen A. Rowe
Arbitrator(s): Gloria J Liddell, Robert E. Graves, Samuel C. Johnson
Hearing Site: Birmingham, AL
| | $18,459 |
| 03-07280 | 10/24/2007 | Claimant(s): Francelle Lewis, Michael Lewis
Claimant Lawyers(s): L. Jerome Stanley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Mark A. Myers, Andrew Phelps Burnside, Robert E. Graves
Hearing Site: New Orleans, LA
| | $0 |
