| 08-00504 | 06/08/2010 | Claimant(s): Fred Kelley, Steven Helton, William Helton, William Miller
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Alan F. Enslen
Arbitrator(s): Arthur W. Pigott, James C. Hoover, Stanley W. Foy
Hearing Site: Birmingham, AL
|  | $45,000 |
| 09-04373 | 05/07/2010 | Claimant(s): James R. Burns, IRA
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): C. Sumpter Logan
Hearing Site: Birmingham, AL
| | $0 |
| 08-04948 | 03/30/2010 | Claimant(s): The Westervelt Company
Claimant Lawyers(s): Peter R. Sonderby
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Jonathan Rosenberg
Arbitrator(s): Kendall P. Hill, Fred M. Ridolphi, M. Bruce Adelberg
Hearing Site: Birmingham, AL
| | $6,025,000 |
| 09-02152 | 03/25/2010 | Claimant(s): Gordon Stamper
Claimant Lawyers(s): Gordon D. Stamper
Respondent(s): MML Investors Services.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): James Francis Donovan, Robert N. Kohn, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
| | |
| 08-01465 | 02/23/2010 | Claimant(s): CIC Capital Management Company, CIC Financial, Cobb Investment Company
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Joe Hamilton, Morgan Keegan & Company.
Respondent Lawyers(s): Melinda Lucas Peevy
Arbitrator(s): David L. Walby, John F. O'Neill, James Edward Seale
Hearing Site: Birmingham, AL
| | $1,073,000 |
| 08-03676 | 02/22/2010 | Claimant(s): Mei-Fang Chan
Claimant Lawyers(s): Mei-Fang Chan
Respondent(s): Hugh Parish, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas A. Snyder, Steven P. Gregory, John G. Manley
Hearing Site: Birmingham, AL
| | $8,475 |
| 08-04641 | 02/05/2010 | Claimant(s): Howard Schultz, Estate of Merle C. Schultz
Claimant Lawyers(s): Robert R. Riley
Respondent(s): Andrew Petrofsky, Norman Berk, Professional Asset Strategies
Respondent Lawyers(s): Lee R. Benton, Marion F. Walker
Arbitrator(s): John G. Manley, Charles M. Thompson, Lane A. Fentriss
Hearing Site: Birmingham, AL
| | $478,908 |
| 09-01792 | 12/31/2009 | Claimant(s): Anne Moman, Guy Moman
Claimant Lawyers(s): Charles A McCallum
Respondent(s): Morgan Keegan & Company., William Hutchison
Respondent Lawyers(s): Stephen A. Rowe
Arbitrator(s): Ruth C. Adrian, Edward Blumstein, Barry Rabinowitz
Hearing Site: Birmingham, AL
| | $44,955 |
| 09-04097 | 12/07/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Wiginton
Respondent Lawyers(s): Michael W. Wiginton
Arbitrator(s): Thomas C. Moxley
Hearing Site: Birmingham, AL
| | |
| 08-02430 | 11/25/2009 | Claimant(s): Richard Jordan
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Michael R. Robinson
Arbitrator(s): Arthur W. Pigott, James Francis Donovan, Alun Hywel Jones
Hearing Site: Birmingham, AL
| | $0 |
