| 07-02146 | 01/27/2009 | Claimant(s): E*Trade Financial Corporation
Claimant Lawyers(s): Michael P. Elkon
Respondent(s): Grace Financial Group LLC
Respondent Lawyers(s): Patricia A. Christiansen
Arbitrator(s): David D. Cohen, David M. Snyder, Richard A. Rudolph
Hearing Site: Tampa, FL
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| 08-04035 | 01/22/2009 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Marc Miller, Morgan Keegan & Company.
Respondent Lawyers(s): George L. Guerra, Shea O'Brien Hicks
Arbitrator(s): Paul Sidney Elliott, JD, Pamela Jeanne Rush, Jonathan H. Stein
Hearing Site: Tampa, FL
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| 07-02763 | 11/05/2008 | Claimant(s): Thomas Payant
Claimant Lawyers(s): Randall C. Place
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Leslie R. Murtagh
Arbitrator(s): Robert W. Kneeland, Kenneth R. Starr, Randall Simmons Smith
Hearing Site: Tampa, FL
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| 07-03389 | 10/22/2008 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): David Riggleman
Respondent Lawyers(s): David W. Riggleman
Arbitrator(s): Willis E. Adams, Martin Salzman, Robert Kevin O'Mara
Hearing Site: Tampa, FL
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| 08-00148 | 10/10/2008 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Douglas Studer
Respondent Lawyers(s): T. Gregory Slother
Arbitrator(s): Lon M. Hatton, Jonathan H. Stein, Robert Kevin O'Mara
Hearing Site: Tampa, FL
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| 07-01995 | 09/05/2008 | Claimant(s): Mike Dalton
Claimant Lawyers(s): Mike Dalton
Respondent(s): GunnAllen Financial.
Respondent Lawyers(s): William J. Schifino
Arbitrator(s): Jerrold E. Slutzky, Neal J. Tourdo, Marshal H. Emerson
Hearing Site: Tampa, FL
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| 06-04165 | 04/28/2008 | Claimant(s): Johnnie Lloyd
Claimant Lawyers(s): Tarya A. Tribble
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Joseph L. Larrinaga
Arbitrator(s): Beverly S. Gordon, Richard J. Fuller, David L. Walby
Hearing Site: Tampa, FL
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| 06-05081 | 04/24/2008 | Claimant(s): David Ossenmacher
Claimant Lawyers(s): John R. Kiefner
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nancy Anderson Tayborn
Arbitrator(s): Nicholas G. Dukas, Elizabeth A. Townes, Karl A. Vogeler
Hearing Site: Tampa, FL
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| 05-04554 | 03/24/2008 | Claimant(s): David McCoy, GunnAllen Holdings.
Claimant Lawyers(s): Richard A. Roth, William J. Schifino
Respondent(s): Bradley Fay, Donald Gunn, Richard Frueh, Richard Nummi, Gunnallen Financial., McCoy Rep Services.
Respondent Lawyers(s): Richard A. Roth, Robert W. Boos, William J. Schifino
Arbitrator(s): John Steve Azadian, William E. Nodine, Kenneth R. Starr
Hearing Site: Tampa, FL
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| 05-04568 | 02/06/2008 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Shepherd D. Tate
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Eric Seiler
Arbitrator(s): Beverly S. Gordon, Russell W. Merriman, Marshal H. Emerson
Hearing Site: Tampa, FL
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