| 09-06234 | 05/26/2011 | Claimant(s): Peoples State Bank
Claimant Lawyers(s): Stephen L. Miles
Respondent(s): Michael Park, FTN Financial Securities Corp, FTN Financial Capital Markets
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): William B. Miller, Frederick H. Bruce, Lynne R. Stern
Hearing Site: New Orleans, LA
|  | $0 |
| 10-02435 | 05/09/2011 | Claimant(s): Succession of Newman Trowbridge
Claimant Lawyers(s): Steven G. "Buzz" Durio
Respondent(s): Rick Schenck, Capital One Investment Services
Respondent Lawyers(s): Frances M. Curran
Arbitrator(s): Robert H. Putnam, James Kee Irvin, Clave E. Gill
Hearing Site: New Orleans, LA
| | $0 |
| 09-06330 | 03/18/2011 | Claimant(s): Kritz Family LLC
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): Susan L. Walker, Mark P. Filwett, Richard J. DeWitt
Hearing Site: New Orleans, LA
| | $0 |
| 09-04093 | 03/08/2011 | Claimant(s): Emmett Carter
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): James Holdman, Penson Financial Services.
Respondent Lawyers(s): MacAllynn J. Achee, Mark G. Hanchet
Arbitrator(s): Daniel Eugene Bivins, Frederick S. Duncan, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $869,170 |
| 09-05078 | 02/07/2011 | Claimant(s): Sharon Hewett
Claimant Lawyers(s): Michael J. Rudicell
Respondent(s): Park Avenue Securities
Respondent Lawyers(s): George D. Fagan
Arbitrator(s): Allen J. Krouse
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |
| 09-05421 | 01/28/2011 | Claimant(s): Randall Fausak
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis, Jr.
Arbitrator(s): Kinchen C. Bizzell, Richard J. Kaplan, Demetrio S. Timban
Hearing Site: New Orleans, LA
| | $107,475 |
| 09-05246 | 01/11/2011 | Claimant(s): FTB, GC&KB Investments.
Claimant Lawyers(s): Stephen D. Marx
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas A. Roberts
Arbitrator(s): Robert H. Putnam, Frederick S. Duncan, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
| | $85,507 |
| 09-05790 | 12/22/2010 | Claimant(s): Global Wealth Care Group, L.L.C.
Claimant Lawyers(s): Bruce V. Schewe
Respondent(s): Craig Babineaux
Respondent Lawyers(s): Paul J. Hebert
Arbitrator(s): Mark A. Myers, John C. Anjier, David Walton Earle
Hearing Site: New Orleans, LA
| | |
| 09-06410 | 12/02/2010 | Claimant(s): John Hurd, John Walsh, Marc Bonifacic
Claimant Lawyers(s): Peter B. Sloss
Respondent(s): Thomas Pritchard, Todd Giustiniano, Pritchard Capital Holding
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Charles A. Bosworth, Kurt D. Steiner, Onnig Hatchig Dombalagian
Hearing Site: New Orleans, LA
| | |
| 08-03534 | 11/17/2010 | Claimant(s): Raymond Heck
Claimant Lawyers(s): Raymond E. Heck
Respondent(s): Kirk Kepper
Respondent Lawyers(s): Keith Friley
Arbitrator(s): Dale A. Kaliszeski, G. Phillip Shuler, Allen J. Krouse
Hearing Site: New Orleans, LA
| | Settlement |
