| 10-01792 | 01/13/2011 | Claimant(s): Sara Hosey
Claimant Lawyers(s): R. Allen Kilgore
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Suzanne H. Bertolett
Arbitrator(s): Marc Kalish
Hearing Site: Birmingham, AL
|  | $0 |
| 08-03006 | 12/29/2010 | Claimant(s): Bradford Guthrie, Mary Guthrie
Claimant Lawyers(s): Bradford G. Guthrie, Mary M. Guthrie
Respondent(s): Harold Hays, John Hand, Merrill Lynch Pierce Fenner & Smith Inc., Rick Lessley, Robert Jurkiewicz
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): George A. Sawyer, Prince C. Chambliss, David Freeman
Hearing Site: Birmingham, AL
| | $0 |
| 09-06740 | 12/06/2010 | Claimant(s): John A. Robinson, Sara L. Robinson
Claimant Lawyers(s): Diandra S Debrosse Burnley
Respondent(s): Christopher Cowing, Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Stephen A. Rowe
Arbitrator(s): Will Murphy, Lynda L. Baker, Thomas W. Allen
Hearing Site: Birmingham, AL
| | $0 |
| 09-00175 | 11/01/2010 | Claimant(s): James Fellus
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters
Arbitrator(s): James Francis Donovan, Todd Edward Phillips, J. Wesley Romine
Hearing Site: Birmingham, AL
| | |
| 10-00456 | 09/16/2010 | Claimant(s): Roger Gratwick
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): Michael M. Hachigian
Hearing Site: Birmingham, AL
| | $25,425 |
| 09-04458 | 09/02/2010 | Claimant(s): George Trotter
Claimant Lawyers(s): George W. Trotter
Respondent(s): Christopher Miller, Park Avenue Securities LLC
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Steven P. Gregory, Charles W. Hill, Prince C. Chambliss
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 09-03614 | 08/02/2010 | Claimant(s): Curtis Pilot
Claimant Lawyers(s): Dawn Stith Evans
Respondent(s): Citigroup Global Markets., Webb Radcliff, Morgan Stanley Smith Barney (CRD#149777), Salomon Smith Barney (CRD # 7059)
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Kendall P. Hill, Steven P. Gregory, Marshal H. Emerson
Hearing Site: Birmingham, AL
| | Stipulated Award and Expungement |
| 08-04438 | 07/15/2010 | Claimant(s): Hossein Nilipour
Claimant Lawyers(s): Stephen D. Heninger
Respondent(s): TD Ameritrade., Jim Douglass
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven P. Gregory, Laree Payne Kennedy, Charles Lange Clark
Hearing Site: Birmingham, AL
| | Expungement |
| 08-02804 | 07/08/2010 | Claimant(s): Alabama Reinsurance Trust Fund
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Irving M. Shlesinger, Stanley W. Foy, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
| | $0 |
| 09-05792 | 06/21/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Frank Yeilding
Respondent Lawyers(s): Frank A. Yeilding
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
