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Displaying 21-27 out of 27 results

Richardson v Morgan Keegan - $431,000 (MKHIX, MKIBX) Award

In June 2009, a FINRA arbitration panel in Boca Raton, FL ordered Morgan Keegan to pay $431,000 in damages after a hearing wherein the Claimants alleged Respondents breached contractual and fiduciary duties, failed to suitably diversify Claimants' accounts and failed to supervise Claimants' accounts in the Claimants' investments in RMK Select High Income Fund (MKHIX) and RMK Select Intermediate Bond Fund. Dr. McCann testified on behalf of the Claimants.

Velez v Morgan Keegan- $75,000 RMH, RHY, RSF, RMA Award

In May 2009, a FINRA arbitration panel in Little Rock, AR ordered Morgan Keegan to pay $75,000 in damages after a hearing wherein the Claimants alleged Morgan Keegan breached contractual and fiduciary duties, failed to suitably diversify Claimants' accounts and failed to supervise Claimants' accounts in the Claimants' investments in RMK High Income Fund (RMH), RMK Multi-Sector High Income Fund (RHY), RMK Strategic Income Fund (RSF), RMK Advantage Income (RMA). Dr. McCann testified on behalf of the Claimants.

Humphries v Morgan Keegan- $285,222 (MKIBX) Award

In May 2009, a FINRA arbitration panel in Jackson, MS ordered Morgan Keegan to pay $285,222 in damages, interest and attorneys' fees after a hearing wherein the Claimants alleged Respondents misrepresented the RMK Select Intermediate Bond Fund (MKIBX). Dr. McCann testified on behalf of the Claimants.

Ackerman, et al v Morgan Keegan - $81,169 (MKHIX) Award

In April 2009, a FINRA arbitration panel in Birmingham, AL ordered Morgan Keegan to pay $81,169 in damages and interest after a hearing wherein the Claimants alleged Respondents breached contractual and fiduciary duties, failed to suitably diversify Claimants' accounts and failed to supervise Claimants' accounts in the Claimants' investments in Regions MK Select High Income Fund (MKHIX). Dr. McCann testified on behalf of the Claimants.

Willingham et al v Morgan Keegan - $187,215 (RHY, MKIBX) Award

In March 2009, a FINRA arbitration panel in Birmingham, AL ordered Morgan Keegan to pay $187,215 in damages after a hearing wherein the Claimants alleged Respondents breached contractual and fiduciary duties, failed to suitably diversify Claimants' accounts and failed to supervise Claimants' accounts in the Claimants' investments in RMK Multi-Sector High Income Fund (RHY) and RMK Select Intermediate Bond Fund. Dr. McCann testified on behalf of the Claimants.

Muhlbauer v Morgan Keegan - $125,000 (RHY, RSF, RMA) Award

In March 2009, a FINRA arbitration panel in Memphis, TN ordered Morgan Keegan to pay $125,000 in damages after a hearing wherein the Claimants alleged Respondents breached contractual and fiduciary duties, failed to suitably diversify Claimants' accounts and failed to supervise Claimants' accounts in the Claimants' investments in RMK Multi-Sector High Income Fund (RHY), RMK Strategic Income Fund (RSF) and RMK Advantage Income (RMA). Dr. O'Neal testified on behalf of the Claimant.

McCarver v Morgan Keegan - $100,000 (RMH, RHY, RSF, RMA, MKHIX) Award

In February 2009, a FINRA arbitration panel in Tampa, FL ordered Morgan Keegan to pay $100,000 in damages after a hearing wherein the Claimants alleged Respondents breached contractual and fiduciary duties, failed to suitably diversify Claimants' accounts and failed to supervise Claimants' accounts in the Claimants' investments in RMK High Income Fund (RMH), RMK Multi-Sector High Income Fund (RHY), RMK Strategic Income Fund (RSF), RMK Advantage Income (RMA) and RMK Select High Income (MKHIX). Dr. McCann testified on behalf of the Claimant.

27 Results

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