| 14-00415 | 06/09/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Willard Kelly
Respondent Lawyers(s): J Thomas Jones
Arbitrator(s): James P. McCrocklin, Jeffrey M. Bain, John Andrew Johnson
Hearing Site: Nashville, TN
| | |
| 14-00846 | 05/26/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): James Clay
Respondent Lawyers(s): James Randall Clay
Arbitrator(s): Hugh J. Moore, David T. Maddux, Arthur L. Tepper
Hearing Site: Nashville, TN
| | |
| 14-00904 | 03/11/2015 | Claimant(s): Antoinette Wilkerson, Bruce Wilkerson, Wilkerson Family Education Trust
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Resource Horizons Group LLC
Respondent Lawyers(s): Kelly S. Miller
Arbitrator(s): Fred M. Ridolphi, Lita S Menkin, A.J. Seier
Hearing Site: Nashville, TN
|  | $2,623,000 |
| 14-02966 | 03/10/2015 | Claimant(s): Patrick Turns
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Bob Breon, John Sampietro, Trestle Point
Respondent Lawyers(s): Robert A. McLean
Arbitrator(s): Kenneth M. Jackson
Hearing Site: Nashville, TN
| | |
| 10-05361 | 03/21/2014 | Claimant(s): Barry Goodman, Dana Goodman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Meyers Associates, L.P.
Respondent Lawyers(s): David A. Schrader
Arbitrator(s): R. Thomas Barksdale, Jeffrey M. Bain, Donna L. Pavlick
Hearing Site: Nashville, TN
| | $447,580 |
| 12-03152 | 03/10/2014 | Claimant(s): Ricky McReynolds
Claimant Lawyers(s): Ricky Allen McReynolds
Respondent(s): Robbi Jones, Kipling Jones & Co., Ltd.
Respondent Lawyers(s): R. Kipling Jones
Arbitrator(s): John J. Bucko, D. Bruce Shine, Neil Harvey Smith
Hearing Site: Nashville, TN
| | |
| 12-02762 | 02/21/2014 | Claimant(s): Sandra J. Smith, IRA
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Allan Weiss
Hearing Site: Nashville, TN
| | Expungement |
| 12-04074 | 01/06/2014 | Claimant(s): Gregory Zerillo
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): John G. Manley
Hearing Site: Nashville, TN
| | |
| 13-02747 | 01/03/2014 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Russell Beck
Respondent(s): Melissa Clemens
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Hugh J. Moore, John C. Burch, Kenneth M. Jackson
Hearing Site: Nashville, TN
| | |
| 13-01435 | 12/11/2013 | Claimant(s): Alex Adams
Claimant Lawyers(s): Alex Adams
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Enrico A. Mazzoli
Hearing Site: Nashville, TN
| | $0 |
