| 10-04290 | 03/22/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Deborah G. Evans
Respondent(s): Eric Dishner
Respondent Lawyers(s): Eric M. Dishner
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Tampa, FL
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| 11-03909 | 03/01/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Alan Gross
Respondent Lawyers(s): Alan H. Gross
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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| 10-04099 | 01/20/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Daniel Laiter
Respondent Lawyers(s): Bernard S. Mandler
Arbitrator(s): Bruce K. Isenberg, Andrew David Kahng, Renaldy Jose Gutierrez
Hearing Site: Miami, FL
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| 10-03737 | 11/07/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Ronald Shindler
Respondent(s): Jeffrey Seltzer, Ken Cerruto
Respondent Lawyers(s): Ronald Shindler, Russell L. Forkey
Arbitrator(s): Bruce K. Isenberg, Thomas R. Noonan, Paul J. Burkhart
Hearing Site: Boca Raton, FL
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| 10-03722 | 10/04/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Paul Schobert
Respondent Lawyers(s): Paul E. Schobert
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Tampa, FL
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| 11-00587 | 06/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Kenneth Williamson
Respondent Lawyers(s): Kenneth Thomas Williamson
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Tampa, FL
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| 11-00548 | 06/14/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Jeffrey Gargiulo
Respondent Lawyers(s): Gordon C. Lane
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Ft. Lauderdale, FL
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| 10-05239 | 03/15/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Charles Norvell
Respondent Lawyers(s): Charles R. Norvell
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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| 10-00597 | 02/22/2011 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Shawn Wooden
Respondent Lawyers(s): Shawn Wooden
Arbitrator(s): Bruce K. Isenberg, Mark I. Roth, Marcy R. Greer
Hearing Site: Ft. Lauderdale, FL
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| 10-04003 | 02/17/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Larry J. Lipka
Respondent(s): Cody Hawkins-Fitzgerald
Respondent Lawyers(s): Cody D. Hawkins-Fitzgerald
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Orlando, FL
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