| 15-02834 | 02/07/2017 | Claimant(s): Michael Hanke
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Langfred W. White, Patricia Gunn, Thomas J. Patka
Hearing Site: Tampa, FL
| | |
| 15-01814 | 12/29/2016 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn Diamond Shaw
Respondent(s): Adam Mayfield
Respondent Lawyers(s): Adam Mayfield
Arbitrator(s): Muriel Desloovere, Patricia Gunn, Gary E. Marcus
Hearing Site: Tampa, FL
| | |
| 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
| | |
| 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
| | |
| 12-02170 | 05/13/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Nicolette Siyufy
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Patricia Gunn, Margaret R. Hoyt, Lynn Saunders Matthews
Hearing Site: Orlando, FL
| | |
| 12-02820 | 02/27/2013 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Robert Rose, Russell Brautigam, Russel D. Brautigam Roth Conv. IRA, Tom L. Poe and Margie Elaine Poe JT TEN, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Randall T. Stack, Patricia Gunn, Ronald A. Isackson
Hearing Site: Tampa, FL
| | Expungement |
| 11-03145 | 09/18/2012 | Claimant(s): Michael Lena
Claimant Lawyers(s): Ryan D. Barack
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Mark E. Zelek
Arbitrator(s): Roger C. Benson, Patricia Gunn, Randall Simmons Smith
Hearing Site: Tampa, FL
| | |
| 11-04544 | 07/16/2012 | Claimant(s): Eduard Van Raay
Claimant Lawyers(s): Martin F. Gusy
Respondent(s): Raymond James Financial Services., Raymond James Financial Services Advisor
Respondent Lawyers(s): Ann M. Hensler
Arbitrator(s): Patricia Gunn
Hearing Site: Orlando, FL
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| 10-00888 | 03/07/2012 | Claimant(s): William Schumacher
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Patricia Gunn, Thomas R. Carlsen, Dennis R. Sullivan
Hearing Site: Tampa, FL
| | |
| 09-00111 | 08/10/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Stephanie McLaughlin
Respondent(s): Mark Hoffman
Respondent Lawyers(s): David C. Reeves
Arbitrator(s): Patricia Gunn, Thomas Roe Oldt, Lauren S. Puritz
Hearing Site: Orlando, FL
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