| 13-00709 | 09/17/2013 | Claimant(s): Charlotte Adams
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Arthur L. Tepper
Hearing Site: Birmingham, AL
|  | $50,600 |
| 12-02955 | 09/17/2013 | Claimant(s): Bettye Burns
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Samuel L. McClaren
Hearing Site: Birmingham, AL
| | $0 |
| 12-01827 | 09/16/2013 | Claimant(s): John Lott
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Joyce F. Glucksman, Samuel C. Johnson, Laree Payne Kennedy
Hearing Site: Birmingham, AL
| | Expungement |
| 12-00039 | 07/31/2013 | Claimant(s): Estate of Al Holloway
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Phillip Lee Scheldt
Hearing Site: Birmingham, AL
| | $33,250 |
| 11-01226 | 07/30/2013 | Claimant(s): Estate of Thelma A. Mendel, Thelma A. Mendel Lifetime Trust
Claimant Lawyers(s): J. Curt Tanner, Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): John F. Allgood, Philip Michael Moran, Brock Bingham Gordon
Hearing Site: Birmingham, AL
| | $279,500 |
| 12-00804 | 07/22/2013 | Claimant(s): Floyd Sizemore
Claimant Lawyers(s): Preston F. Nichols
Respondent(s): Synovus Securities.
Respondent Lawyers(s): William Jay Long
Arbitrator(s): Lita S Menkin, Suzette Merriam Foster, Arthur Lee Martin
Hearing Site: Birmingham, AL
| | $0 |
| 12-01828 | 07/11/2013 | Claimant(s): Edna Thompson, Edna E. Thompson CGM IRA Custodian
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Julie W. Portera, Todd H. Cox
Arbitrator(s): Daniel H. Kolber, Donald Milo Helton, J. Wesley Romine
Hearing Site: Birmingham, AL
| | Expungement |
| 12-02303 | 06/19/2013 | Claimant(s): Ahmad Shah Jalil, Shah S. Jalil C/F Maurie S. Jalil UTTMA, Shah S. Jalil C/F Sarah E. Jalil UTTMA
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): BBVA Compass Investment Solutions, Sterne, Agee & Leach.
Respondent Lawyers(s): M. Lee Johnsey, Rebecca A. Beers
Arbitrator(s): Earle J. Schwarz, Debra Black Leo, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
| | Expungement |
| 11-02747 | 05/21/2013 | Claimant(s): Timothy Gautney, Aura Asset Management., Aura Financial Services.
Claimant Lawyers(s): John G Dana
Respondent(s): James Webb, Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb, Ronald M. Amato
Arbitrator(s): Lita S Menkin, Cherie J. Jolly, Charles M. Thompson
Hearing Site: Birmingham, AL
| | |
| 12-01499 | 04/29/2013 | Claimant(s): Joseph Pittman, Robert Dryden, Scott McArthur
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): Gloria J Liddell, Nigel W. Sadd, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | Expungement |
