| 11-02298 | 09/07/2012 | Claimant(s): David Elias 2002 Trust, Helene R. Elias 2002 Trust
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick Mahoney
Arbitrator(s): C. Sumpter Logan, Neil Harvey Smith, Brock Bingham Gordon
Hearing Site: Birmingham, AL
|  | Expungement |
| 12-00243 | 09/05/2012 | Claimant(s): Jonathan McKinzie, LaSandra McKinzie, Tashara McKinzie
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): R. Van Young
Hearing Site: Birmingham, AL
| | $0 |
| 10-01658 | 08/30/2012 | Claimant(s): Louie B. Cowan and Ruby A. Cowan
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Donald F. Winningham
Arbitrator(s): Richard J. Stall
Hearing Site: Birmingham, AL
| | $23,983 |
| 09-03120 | 08/01/2012 | Claimant(s): Municipal Workers Compensation Fund Inc.
Claimant Lawyers(s): Peter Mougey
Respondent(s): Morgan Keegan & Company., Morgan Asset Management.
Respondent Lawyers(s): George D. Sullivan, S. Lawrence Polk
Arbitrator(s): Eric Howard Kunis, William F. Julavits, Patricia A. DeWitt
Hearing Site: Birmingham, AL
| | $0 |
| 11-00086 | 07/30/2012 | Claimant(s): James Little, Susan B. Little Family Trust
Claimant Lawyers(s): P. Michael Yancey
Respondent(s): Richard Thayer, Ronald Lankford, William Stevens, First Legacy Securities, The Legacy Financial Group.
Respondent Lawyers(s): Adam K. Israel, Henry E. Walker, Henry Walker, Ronald W. Lankford, William Slay Stevens
Arbitrator(s): Gloria J Liddell, James Francis Donovan, J. Wesley Romine
Hearing Site: Birmingham, AL
| | $835,000 |
| 11-04320 | 06/22/2012 | Claimant(s): Stephen M. & Jeanine J. Mordecai
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Niel Prosser
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Birmingham, AL
| | $0 |
| 12-00080 | 06/19/2012 | Claimant(s): Charlotte Reed
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Walter P. Hitchcock
Hearing Site: Birmingham, AL
| | $9,046 |
| 10-03380 | 06/13/2012 | Claimant(s): Debra Bryant, Judy Armstrong, Bobby J. Rodgers, Mary S. Rodgers, Harold L. Byars and Betty J. Byars, James R. Howard and Virginia K. Howard, Jerry M. Taylor and Mary H. Taylor, Mary Shaw Rodgers GST Exempt Trust, Mary Shaw Rodgers GST Trust U/W Frances
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Howard W. Shannon, David L. Binhak, Edward J. Lynch
Hearing Site: Birmingham, AL
| | $471,115 |
| 10-05772 | 06/06/2012 | Claimant(s): Dani Eder IRA Account
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): David N. Luder
Arbitrator(s): Linda B. Kelly, Jeffrey M. Allen, Donald Dreyfus
Hearing Site: Birmingham, AL
| | $0 |
| 11-03200 | 03/21/2012 | Claimant(s): Estate of Albert S. Newton
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): John B. La Rue
Hearing Site: Birmingham, AL
| | $25,425 |
