| 12-03028 | 10/11/2013 | Claimant(s): Milton Less
Claimant Lawyers(s): D. Daxton White
Respondent(s): Institutional Capital Management.
Respondent Lawyers(s): Vy-Vivian Nguyen
Arbitrator(s): Edward B. Scott, F. Wesley Bowers, Kenneth M. Jackson
Hearing Site: Nashville, TN
|  | Stipulated Award |
| 12-01843 | 09/25/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas Cooper
Respondent Lawyers(s): Thomas Stephen Cooper
Arbitrator(s): Randall S. Strause
Hearing Site: Nashville, TN
| | |
| 11-04700 | 08/19/2013 | Claimant(s): Wanda Jeffries
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Edward D. Jones & Co., L.P.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Donald Milo Helton, Kenneth M. Jackson, Richard K. Smith
Hearing Site: Nashville, TN
| | Expungement |
| 11-01014 | 06/14/2013 | Claimant(s): Albert Haynesworth
Claimant Lawyers(s): Philip N. Elbert
Respondent(s): Citigroup Global Markets., John Verble
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Jeffrey M. Bain, Darrell A. Hillis, D. Bruce Shine
Hearing Site: Nashville, TN
| | $390,000 |
| 11-03766 | 03/08/2013 | Claimant(s): Lavaughn Boston, Mary Boston
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Amy Fuchs, Deborah Perry, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): A. Ronald Tonks, Arthur L. Tepper, Enrico A. Mazzoli
Hearing Site: Nashville, TN
| | Expungement |
| 12-01539 | 02/08/2013 | Claimant(s): Lawrence Droutman
Claimant Lawyers(s): Lawrence Droutman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Claude O. Ramer
Hearing Site: Nashville, TN
| | $0 |
| 11-02535 | 08/27/2012 | Claimant(s): George W Hussey
Claimant Lawyers(s): David Young Parker
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Bill Swinford, Fred M. Ridolphi, Neil Harvey Smith
Hearing Site: Nashville, TN
| | $0 |
| 11-03721 | 07/31/2012 | Claimant(s): Corery Price
Claimant Lawyers(s): Corery L. Price
Respondent(s): ING Direct Investing.
Respondent Lawyers(s): C. Dean Little
Arbitrator(s): Bill Swinford, Hugh J. Moore, Mary Neil Price
Hearing Site: Nashville, TN
| | $0 |
| 10-04519 | 07/16/2012 | Claimant(s): Guy Patterson
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Jane D. Lollis
Hearing Site: Nashville, TN
| | Stipulated Award and Expungement |
| 11-03554 | 06/05/2012 | Claimant(s): SunTrust Investment Services., SunTrust Bank
Claimant Lawyers(s): Kenneth M. Bryant
Respondent(s): Corey Anderson
Respondent Lawyers(s): Salvador M. Hernandez
Arbitrator(s): Fred W. Beesley, Richard G. Isaac, Kenneth M. Jackson
Hearing Site: Nashville, TN
| | |
