| 12-00280 | 05/30/2013 | Claimant(s): Joe Aizpuru Family Trust
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Portera
Arbitrator(s): William F. Glaser, John Hughes Verchot, A.J. Seier
Hearing Site: Tampa, FL
|  | Expungement |
| 12-00536 | 05/16/2013 | Claimant(s): Gary Kern
Claimant Lawyers(s): Gary W. Kern
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Ronald H. Walton, Steele Thomas Williams, Oliver J. Janney
Hearing Site: Tampa, FL
| | $0 |
| 12-00997 | 05/06/2013 | Claimant(s): Michael Ryan
Claimant Lawyers(s): Steele T. Williams
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Roger W. Van Deusen, Ruth C. Adrian, Robert Knickerbocker
Hearing Site: Tampa, FL
| | Expungement |
| 11-03039 | 04/18/2013 | Claimant(s): Joan Levenson
Claimant Lawyers(s): Robert V Cornish
Respondent(s): Dwight Wheelan, Scott Barcomb, Berthel, Fisher & Co Financial Services.
Respondent Lawyers(s): Gary Irwin
Arbitrator(s): Constance d'Angelis, Patrick D. King, John Leo Williams
Hearing Site: Tampa, FL
| | Expungement |
| 12-00803 | 04/15/2013 | Claimant(s): Myrna Kanter, The Myron A. Kanter Insurance Trust II
Claimant Lawyers(s): George L. Guerra
Respondent(s): Christopher Goslin, Jordan Kanter
Respondent Lawyers(s): Alan M. Wolper, George L. Guerra
Arbitrator(s): William F. Glaser, David F. Simon, Michael S. Kozlow
Hearing Site: Tampa, FL
| | $0 |
| 11-03693 | 04/09/2013 | Claimant(s): Christine Erickson, William Erickson
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Ameriprise Financial Services., Lance Becatti
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Edith N. Dinneen, Deborah J. Powell, Andrea Bailey
Hearing Site: Tampa, FL
| | $0 |
| 11-02175 | 03/18/2013 | Claimant(s): Gary Rucker
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Portera
Arbitrator(s): Valerie J. Hamm, Darryl C. Wilson, Jack A. Helms
Hearing Site: Tampa, FL
| | Expungement |
| 12-00823 | 02/19/2013 | Claimant(s): Edward L. Bolding Revocable Trust, Ramona G. Bolding Trust
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Eric M. Morris
Arbitrator(s): Roger W. Van Deusen, William F. Glaser, Nicholas G. Dukas
Hearing Site: Tampa, FL
| | Expungement |
| 11-00420 | 02/06/2013 | Claimant(s): Joseph Kowalski
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): William F. Glaser, Richard R. Logsdon, Robert Lewis Matthews
Hearing Site: Tampa, FL
| | Expungement |
| 11-01658 | 01/10/2013 | Claimant(s): D7 Trading, Kingdom Legacy Fund
Claimant Lawyers(s): Tucker Harrison Byrd
Respondent(s): Penson Financial Services., TD Ameritrade Holding Corporation, Thinkorswim. n/k/a Bellevue Chicago
Respondent Lawyers(s): Joseph A. Matteo
Arbitrator(s): George K. Beardsley, Donald K. Runkle, Charles W. Lavender
Hearing Site: Tampa, FL
| | $0 |
