| 14-00712 | 07/07/2015 | Claimant(s): Rebecca Ann Dyer Tilton
Claimant Lawyers(s): Judson M. Lee
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Clayton J. Borne, Lovella L. Richardson, Barbara L. Edin
Hearing Site: Jackson, MS
|  | $60,400 |
| 13-00880 | 06/11/2015 | Claimant(s): Chris Ethridge, Jesse Ethridge, Mark Shapley, Jesse C. Ethridge, IRA, Mississippi Sports Medicine 401(K) Plan, Amy Hatchett and Brad Hatchett, JT TEN
Claimant Lawyers(s): Frank "Kim" Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Patrice L. Stewart, Stephen H. Biller, James L. Warren
Hearing Site: Jackson, MS
| | Expungement |
| 12-02897 | 03/31/2015 | Claimant(s): Tracy Gilbert
Claimant Lawyers(s): Tad McCraney
Respondent(s): Stifel, Nicolaus & Co.., Lanis Noble
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Susan F. Drogin, John J. Meyer, Douglas E. Miller
Hearing Site: Jackson, MS
| | $1,542,340 |
| 13-03438 | 02/11/2015 | Claimant(s): Patrick Broome
Claimant Lawyers(s): Whitman B. Johnson
Respondent(s): Paxton Farese, Sound Financial Strategies Group, The Farese Group
Respondent Lawyers(s): Mark D. Griffin, Patrick F. McAllister
Arbitrator(s): Richard C. Downing, Coleman Robert Perry, Onnig Hatchig Dombalagian
Hearing Site: Jackson, MS
| | |
| 14-00556 | 11/18/2014 | Claimant(s): Mississippi Baptist Health Systems.
Claimant Lawyers(s): Frank Iacono
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): James Kee Irvin, Onnig Hatchig Dombalagian, Brian P. Jakes
Hearing Site: Jackson, MS
| | Dismissed by Rule 12206 |
| 14-00066 | 09/24/2014 | Claimant(s): Bruce Brookshire
Claimant Lawyers(s): Bruce C. Brookshire
Respondent(s): Pershing LLC, Peter Iapoce, Stephen Kaminski
Respondent Lawyers(s): Jane L. Myers
Arbitrator(s): Frederick H. Bruce
Hearing Site: Jackson, MS
| | $88 |
| 12-00159 | 05/23/2014 | Claimant(s): Jessica Clarke, IRA
Claimant Lawyers(s): Joseph Peiffer
Respondent(s): Fred Brister III, Hilary Zimmerman, Morgan Stanley, Morgan Stanley & Co., Steven Wyatt
Respondent Lawyers(s): George C. Freeman, Joseph C. Coates
Arbitrator(s): Gloria J Liddell, Fred M. Ridolphi, Kenneth W. Shelley
Hearing Site: Jackson, MS
| | $150,600 |
| 13-02211 | 05/02/2014 | Claimant(s): Olene Miller
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Enrique Provencio
Arbitrator(s): Thomas E. Shuck
Hearing Site: Jackson, MS
| | $0 |
| 13-02212 | 03/19/2014 | Claimant(s): Joseph A. Miller and Michele P. Miller,
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Enrique Provencio
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Jackson, MS
| | $0 |
| 12-04105 | 02/24/2014 | Claimant(s): Larry Davis
Claimant Lawyers(s): Larry Darnell Davis
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): John J. Meyer, Earle J. Schwarz, Melva J. Harmon
Hearing Site: Jackson, MS
| | $0 |
