| 12-01112 | 01/29/2013 | Claimant(s): William Cleino
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Birmingham, AL
|  | $0 |
| 12-02716 | 01/22/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Thompson
Respondent Lawyers(s): Robert Sidney Thompson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
| 11-03606 | 01/17/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Brian R. Mills
Respondent(s): John Hackbarth
Respondent Lawyers(s): John Melton Hackbarth
Arbitrator(s): C. Sumpter Logan
Hearing Site: Birmingham, AL
| | |
| 12-01483 | 12/19/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Big Swell f/k/a Tovar., Nathan Phillip Friedlander SEP-IRA, Nathan & Joan Friedlander Joint Tenant, Harris Friedland Trust dd 7/25/1989
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 11-03906 | 12/10/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Ronny Powell
Respondent Lawyers(s): Ronny W. Powell
Arbitrator(s): Marshal H. Emerson, John F. O'Neill, David Freeman
Hearing Site: Birmingham, AL
| | |
| 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
| | |
| 12-01650 | 10/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Eric Johnson
Respondent Lawyers(s): Eric David Johnson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
| 12-01114 | 10/03/2012 | Claimant(s): Connie Knox
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Stuart K. Furman
Hearing Site: Birmingham, AL
| | $17,925 |
| 11-00417 | 10/02/2012 | Claimant(s): David Berdeaux, William Grace
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Paul K. Barenholtz, Edward R. Niederriter, Robert G. O'Brien
Hearing Site: Birmingham, AL
| | $103,214 |
| 12-01129 | 09/25/2012 | Claimant(s): Paul Cottrell
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Birmingham, AL
| | $25,425 |
