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FINRA Awards for Tampa, FL

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Displaying 151-160 out of 243 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0412605/31/2012Claimant(s): Howard Adkins
Claimant Lawyers(s): Howard M. Adkins
Respondent(s): David Wylie, Kenneth Nadeau, New England Securities
Respondent Lawyers(s): William Zeena
Arbitrator(s): Beverly S. Gordon
Hearing Site: Tampa, FL
Checkmark Icon$163
10-0086205/25/2012Claimant(s): Nicholas D'Angelo and Josephine D'Angelo
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Diana A. Weiner
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0127405/25/2012Claimant(s): Hector Sanchez and Lourdes M. Sanchez
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Muriel Desloovere, Thomas F. Icard, Leslie Reese Murtagh
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0031205/23/2012Claimant(s): Frances Minneci, Philip Minneci
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): H. Steven Holtzman
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0038905/23/2012Claimant(s): Mary Pukatch, William Pukatch
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Nelson I. Fishman
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0039205/21/2012Claimant(s): Clarence Passehl, Marjorie Passehl, Passehl Family Trust, dtd 12/18/89
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Beverly S. Gordon, Gregory D. Hoffmann, Thomas Jeffrey Stringfield
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0058905/21/2012Claimant(s): Floyd W. Smith and MaryLou K. Smith
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Frank Brenner
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0071005/21/2012Claimant(s): Raymond Thomas
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
09-0721705/18/2012Claimant(s): Edward Clark
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0014405/18/2012Claimant(s): Judith Hughes, William Hughes, Hughes Family Revoc. Living Trust
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Langfred W. White
Hearing Site: Tampa, FL
Checkmark IconStipulated Award

243 Results

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