| 13-03203 | 12/29/2014 | Claimant(s): Patricia Dennis
Claimant Lawyers(s): Jason P. Ramos
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Edith N. Dinneen, Augusto V. Perrotta, Gary E. Marcus
Hearing Site: Tampa, FL
|  | $0 |
| 13-00293 | 11/26/2014 | Claimant(s): Fredrick Griffin
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): William S. Glickfield, William H. Fleece, Arthur J. Zelenak
Hearing Site: Tampa, FL
| | $306,132 |
| 14-00819 | 10/31/2014 | Claimant(s): Barbara Gusie, Carl Gusie
Claimant Lawyers(s): Rasheed Karim Allen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Dempsey
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
| | $0 |
| 14-00485 | 08/05/2014 | Claimant(s): Corey Tashkin
Claimant Lawyers(s): Adam M. Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Audrey Belitz Rauchway
Hearing Site: Tampa, FL
| | $300 |
| 12-03597 | 07/07/2014 | Claimant(s): Caroline Boyd, Jacqueline Boyd, John Boyd, Michael Boyd
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Alan Rosenberg, Investacorp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Langfred W. White, Thomas R. Carlsen, Gayle B. Carlson
Hearing Site: Tampa, FL
| | Expungement |
| 13-02961 | 06/30/2014 | Claimant(s): Gerard Rivard
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I Hantman
Arbitrator(s): Darryl C. Wilson, Gerald F. Gude, Donald R. Smith
Hearing Site: Tampa, FL
| | $0 |
| 13-00181 | 05/30/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Nicolas Toadvine, Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy, Nicolas Shane Toadvine
Arbitrator(s): Richard J. Fuller
Hearing Site: Tampa, FL
| | Settlement |
| 11-04215 | 05/14/2014 | Claimant(s): Miroslav Mitusina, B&M Precision
Claimant Lawyers(s): Scott W. Fitzpatrick
Respondent(s): Frederick Rock, Fifth Third Securities.
Respondent Lawyers(s): Robert R. Warchola
Arbitrator(s): Jerrold E. Slutzky, Russell W. Merriman, Stephen Earl Clark
Hearing Site: Tampa, FL
| | Expungement |
| 12-03284 | 04/15/2014 | Claimant(s): Christa Collins, Justus Essman
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): LPL Financial LLC, UVEST Financial Services Group.
Respondent Lawyers(s): Peter W. Howell, Sara B. Davis
Arbitrator(s): Brian G. Mooney, Edith N. Dinneen
Hearing Site: Tampa, FL
| | Expungement |
| 13-02188 | 04/07/2014 | Claimant(s): Marcy Miller, Michael Biller
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Anastasios Belesis, George Belesis, Joseph Castellano, John Thomas Financial
Respondent Lawyers(s): Dan A. Druz
Arbitrator(s): James D. Keeney
Hearing Site: Tampa, FL
| | $50,425 |
