| 14-01244 | 04/02/2015 | Claimant(s): William Peppenhorst
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
|  | $57,545 |
| 14-00677 | 09/18/2014 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Hartsook
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | |
| 12-03836 | 02/20/2014 | Claimant(s): Rebecca Magee, William Magee
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): James C. Hoover
Hearing Site: Columbia, SC
| | Expungement |
| 12-02068 | 01/08/2014 | Claimant(s): Glenda Ferrris, Marshall Ferris, Glenda Ferris IRA, Marshall Ferris IRA
Claimant Lawyers(s): Richard J. Edson, Ronald E. Miller
Respondent(s): Morgan Stanley, Thomas Howes
Respondent Lawyers(s): Joseph L. Calabrese, Thomas W. Howes
Arbitrator(s): Sabrina Raquel Scott, James C. Hoover, Richard Merritt Langway
Hearing Site: Atlanta, GA
| | Expungement |
| 12-04052 | 10/28/2013 | Claimant(s): Michael Didato
Claimant Lawyers(s): Michael R. DiDato
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Susan J. Buckley, James C. Hoover, Donald John Andres
Hearing Site: Columbia, SC
| | |
| 12-04230 | 09/19/2013 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Sean Kelly
Respondent Lawyers(s): Sean J. Kelly
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | |
| 12-01647 | 11/19/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
| | |
| 09-05271 | 09/19/2011 | Claimant(s): Gerald Prud-homme & Barbara Prud'homme
Claimant Lawyers(s): Fred S. Clark
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Donald F. Winningham
Arbitrator(s): James C. Hoover
Hearing Site: Columbia, SC
| | $0 |
| 08-00504 | 06/08/2010 | Claimant(s): Fred Kelley, Steven Helton, William Helton, William Miller
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Alan F. Enslen
Arbitrator(s): Arthur W. Pigott, James C. Hoover, Stanley W. Foy
Hearing Site: Birmingham, AL
| | $45,000 |
| 08-03946 | 11/17/2009 | Claimant(s): William Helms
Claimant Lawyers(s): Teresa Davis Bulford
Respondent(s): Wachovia Securities, James Covington
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Charles L. Measter, James C. Hoover, Charles Stanley Lomax
Hearing Site: Columbia, SC
| | $0 |
