| 10-03797 | 11/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Benjamin Gentry
Respondent Lawyers(s): Benjamin Alvis Gentry
Arbitrator(s): Hugh J. Moore
Hearing Site: Nashville, TN
| | |
| 11-01919 | 10/28/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Mark Nickels
Respondent Lawyers(s): Mark McMurray Nickels
Arbitrator(s): Richard B. Lewis
Hearing Site: Nashville, TN
| | |
| 10-01871 | 09/30/2011 | Claimant(s): Gordon Sympson, Gordon Sympson and Associates
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): James J. Ashe
Hearing Site: Nashville, TN
|  | $8,386 |
| 11-00100 | 08/03/2011 | Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): Jonda Lowe
Respondent Lawyers(s): Clifford J. Hunt
Arbitrator(s): Fred W. Beesley
Hearing Site: Nashville, TN
| | |
| 10-04344 | 07/20/2011 | Claimant(s): Legends Bank
Claimant Lawyers(s): John M Edgar
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas K. Potter, III
Arbitrator(s): Monica I. Salis, Beverly S. Gordon, Domitilia M. dos Santos
Hearing Site: Nashville, TN
| | Stipulated Award and Expungement |
| 10-04508 | 06/09/2011 | Claimant(s): Jack Vincent
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): Victoria E. Johnson
Hearing Site: Nashville, TN
| | $128 |
| 10-05259 | 06/08/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Tom Krag
Respondent Lawyers(s): Kline Preston
Arbitrator(s): Jay R. Robinson
Hearing Site: Nashville, TN
| | |
| 10-04511 | 04/20/2011 | Claimant(s): Gail Crider
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bonnie B. Monroe
Arbitrator(s): Edward J. Lynch
Hearing Site: Nashville, TN
| | $213 |
| 10-01528 | 03/31/2011 | Claimant(s): Kay Red Horse, Charitable Rem Trust of Kay F. Red Horse, Kay F. Red Horse Revocable Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Clinton J. Simpson
Arbitrator(s): Katherine M. Harmeyer, Daniel M. Yamshon, Karen J. Zvonecek
Hearing Site: Nashville, TN
| | $225,175 |
| 08-03266 | 02/10/2011 | Claimant(s): Edward Karrels
Claimant Lawyers(s): H. Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Wendy M. Warren
Arbitrator(s): Kendall P. Hill, Kenneth M. Jackson, Lovella L. Richardson
Hearing Site: Nashville, TN
| | $373,135 |
