| 13-03621 | 11/17/2014 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Erin K. Linehan
Respondent(s): Steven Wiltshire
Respondent Lawyers(s): Steven Fingerhut
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
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| 12-02913 | 11/04/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Thomas Burt
Respondent Lawyers(s): David B. Gordon
Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, Sylvia D. Stiller
Hearing Site: Boca Raton, FL
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| 13-00514 | 10/29/2014 | Claimant(s): H. Peter Petrosky
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Marie G. Peterson, Harold S. Stern, Jay Stewart Zeif
Hearing Site: Boca Raton, FL
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| 13-01832 | 10/27/2014 | Claimant(s): Hala Asaad
Claimant Lawyers(s): G. Ware Cornell
Respondent(s): New York Life Insurance Company
Respondent Lawyers(s): Anne M. Estevez
Arbitrator(s): Kenneth R. Starr, Donald Theodore Ryce, Peter A. Portley
Hearing Site: Boca Raton, FL
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| 13-02234 | 10/27/2014 | Claimant(s): Gary Henderson
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Andrew Froman
Arbitrator(s): Kimberly A. Gilmour, Steven E. Eisenberg, Alisa Matire
Hearing Site: Boca Raton, FL
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| 14-01582 | 10/20/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Stephen Ridgely
Respondent Lawyers(s): Stephen Eldridge Ridgely
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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| 13-03726 | 10/09/2014 | Claimant(s): Kenneth Brown
Claimant Lawyers(s): Kenneth William Brown
Respondent(s): TD Ameritrade Clearing., John Ricketts
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): G. Robert Abrams, Steven Gerard Goerke, Daniel Joseph Chiodo
Hearing Site: Boca Raton, FL
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| 13-02884 | 09/26/2014 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Coren H. Stern
Respondent(s): Matthew Burton
Respondent Lawyers(s): Matthew Burton
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
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| 13-02548 | 09/02/2014 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Daniel Ascani
Respondent Lawyers(s): Daniel Leonard Ascani
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
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| 12-03257 | 07/25/2014 | Claimant(s): Julie Castillo
Claimant Lawyers(s): Randall C. Place
Respondent(s): LPL Financial LLC, Jeffrey Callan
Respondent Lawyers(s): Craig R. Glasser, Kip A. Nesmith
Arbitrator(s): Monica I. Salis, Jay L. Valinsky, Edward R. Niederriter
Hearing Site: Boca Raton, FL
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