| 14-00675 | 02/10/2015 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Hartsook
Respondent(s): Noel Howe
Respondent Lawyers(s): Noel Alphonso Howe
Arbitrator(s): Susanne J. Hollander
Hearing Site: Orlando, FL
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| 14-00855 | 11/10/2014 | Claimant(s): Nathan Bedell
Claimant Lawyers(s): M. Lee Johnsey
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Kelly Brennan Bolvig
Arbitrator(s): Paul Lilling, Daniel P. Lund, Robert G. Bannon
Hearing Site: Orlando, FL
| | Expungement |
| 13-02103 | 11/05/2014 | Claimant(s): Mark Williams
Claimant Lawyers(s): Douglas K. Gartenlaub
Respondent(s): G. Thornhill
Respondent Lawyers(s): Brian F. Mumford
Arbitrator(s): A.J. Seier, Theodore Haynes, David Edwin Link
Hearing Site: Orlando, FL
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| 13-02281 | 10/08/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): James Tully
Respondent Lawyers(s): James Tully
Arbitrator(s): Mark R. Topper
Hearing Site: Orlando, FL
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| 13-00462 | 09/03/2014 | Claimant(s): Alan Valenca
Claimant Lawyers(s): Jeffrey R. Mazer
Respondent(s): Dennis Sain, The Newport Group
Respondent Lawyers(s): John M. Simon
Arbitrator(s): Elwood Henry Weilage, Robert G. Geeseman, Robert G. Bannon
Hearing Site: Orlando, FL
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| 14-00111 | 09/03/2014 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Peter Benvenuto
Respondent Lawyers(s): Peter Leonard Benvenuto
Arbitrator(s): Stuart Harvey Ziegler
Hearing Site: Orlando, FL
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| 13-00816 | 04/17/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes LLC
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Jay Fratello
Respondent Lawyers(s): Jesse M. Tilden
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL
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| 13-01933 | 04/10/2014 | Claimant(s): Michael Celso
Claimant Lawyers(s): Brian Horwitz
Respondent(s): Fidelity Brokerage Services LLC, Strategic Advisers.
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Stuart K. Furman, Robert Finder, Alexander Joseph Sikora
Hearing Site: Orlando, FL
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| 13-00857 | 03/19/2014 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): Wendy L. Schueller
Respondent(s): Dennis Michels
Respondent Lawyers(s): Philip J. Snyderburn
Arbitrator(s): David P. Slater, Robert H. Nelson, Benjamin L. Abramowitz
Hearing Site: Orlando, FL
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| 13-02546 | 03/07/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Roy Kelsey
Respondent Lawyers(s): Roy Edward Kelsey
Arbitrator(s): Paul E. Flora
Hearing Site: Orlando, FL
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