| 15-03049 | 11/08/2016 | Claimant(s): Eric Jansson
Claimant Lawyers(s): Jordan D. Maglich
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Patricia Gunn, Maurice M. Feller, Sydney E. Blum
Hearing Site: Tampa, FL
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| 16-01541 | 09/30/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Richard Vega
Respondent Lawyers(s): Richard Diego Vega
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
| | |
| 15-01956 | 08/19/2016 | Claimant(s): David George
Claimant Lawyers(s): Robert Savage
Respondent(s): Eagle Asset Management. CRD 110653, Eagle Fund Distributors.
Respondent Lawyers(s): Tammie L. Rattray
Arbitrator(s): Langfred W. White, Thomas Roe Oldt, Rochelle Friedman Walk
Hearing Site: Tampa, FL
| | |
| 15-02927 | 07/28/2016 | Claimant(s): Jack Wolff
Claimant Lawyers(s): Joel Wertman
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Patrick D. King, Gayle B. Carlson, Sydney E. Blum
Hearing Site: Tampa, FL
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| 15-01664 | 07/18/2016 | Claimant(s): Tommy Ayala-Rivera
Claimant Lawyers(s): Tommy Ayala-Rivera
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Gregory D. Hoffmann, Donald N. Malawsky, Gary E. Marcus
Hearing Site: Tampa, FL
| | |
| 16-00052 | 07/06/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Holly Conover-Wade, James Wade
Respondent Lawyers(s): Holly Conover-Wade DO NOT CONTACT, James William Wade - DO NOT CONTACT
Arbitrator(s): Roger C. Benson, Joseph E. Santaularia, Muriel Desloovere
Hearing Site: Tampa, FL
| | Expungement |
| 14-02911 | 05/09/2016 | Claimant(s): Michael Ohlman
Claimant Lawyers(s): Jonathan C. Schwartz
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Patricia Gunn
Hearing Site: Tampa, FL
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| 15-02264 | 04/07/2016 | Claimant(s): Jared Cohen
Claimant Lawyers(s): Geddes D. Anderson
Respondent(s): George Stewart, Marianne Stewart
Respondent Lawyers(s): George Stewart, Marianne Stewart
Arbitrator(s): Patrick D. King, Alfred Brunette, Jack A. Helms
Hearing Site: Tampa, FL
| | Expungement |
| 14-02221 | 01/13/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jose Rojas
Respondent(s): Daniel Curkan
Respondent Lawyers(s): Daniel H. Curkan
Arbitrator(s): William S. Glickfield, Donald K. Runkle, Whilden Sessions Parker
Hearing Site: Tampa, FL
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| 14-02715 | 01/05/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Notes Holdings LLC
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): Otto Walter
Respondent Lawyers(s): W. Andrew Clayton
Arbitrator(s): Mimi B. Osiason, Jack A. Helms, Steven Zerbarini
Hearing Site: Tampa, FL
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