| 08-03813 | 04/06/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Brian Prost
Respondent Lawyers(s): Brian E. Prost
Arbitrator(s): Bernard S. Carrey, Oscar W. Carlson, Duncan H. Cameron
Hearing Site: Tampa, FL
| | |
| 09-01995 | 03/30/2010 | Claimant(s): Karen Hankinson
Claimant Lawyers(s): Karen R. Hankinson
Respondent(s): Kathleen Mcpherson, Kenneth Brown, Russell Riccobono, Scott Brooks, Stanley Brooks, Steve Skytte, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald E. Hemke, H. Thomas Fehn, Kathleen Margaret McPherson, Russell Robert Riccobono, Steve Skytte
Arbitrator(s): Thomas H. McAvoy, Michael D. Hamilton, Laurent Taylor
Hearing Site: Tampa, FL
| | |
| 09-01649 | 12/21/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Marino
Respondent Lawyers(s): Thomas J. Marino
Arbitrator(s): Joseph D. Valenti, Bernard S. Carrey, Daniel B. Daugherty
Hearing Site: Tampa, FL
| | |
| 09-03228 | 12/07/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Gerald Chassang
Respondent Lawyers(s): Gerald D. Chassang
Arbitrator(s): Duncan H. Cameron
Hearing Site: Tampa, FL
| | |
| 09-02470 | 11/04/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Kurt Wallen
Respondent Lawyers(s): Kurt David Wallen
Arbitrator(s): Jonathan H. Stein
Hearing Site: Tampa, FL
| | |
| 08-03696 | 10/22/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): John Fletcher
Respondent Lawyers(s): John Fletcher
Arbitrator(s): Frank J. DeStefano, Harry C. Treber, Steven Zerbarini
Hearing Site: Tampa, FL
| | |
| 08-01238 | 09/11/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): D. Daxton White
Respondent(s): James Fournace
Respondent Lawyers(s): James A. Fournace
Arbitrator(s): John R Kiefner, Mimi B. Osiason, William Hugh Nenninger
Hearing Site: Tampa, FL
| | |
| 08-01182 | 05/29/2009 | Claimant(s): Thomas Moran
Claimant Lawyers(s): Joshua S. Pinsky
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Kenneth Fuchs
Arbitrator(s): David D. Cohen
Hearing Site: Tampa, FL
| | Expungement |
| 08-01183 | 05/29/2009 | Claimant(s): Thomas Moran
Claimant Lawyers(s): Joshua S. Pinsky
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Kenneth Fuchs
Arbitrator(s):
Hearing Site: Tampa, FL
| | Expungement |
| 08-04139 | 04/22/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Tracy Clifford
Respondent Lawyers(s): Tracy L. Clifford
Arbitrator(s): Alison Hardage
Hearing Site: Tampa, FL
| | |
