| 11-02285 | 05/07/2012 | Claimant(s): Benjamin Bosowski, Debra Nash, Gerald Nash, Jeffrey Clegg, Jessica Clegg, Lucille Nash, Manuel Cacdac, Mark Nash, Priscilla Clegg, Q. Nash, Rebecca Mitchell, Nash Foundation
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ronald Shindler
Arbitrator(s): Ian S. Greig, Noel K. Evans, Frank Brenner
Hearing Site: Tampa, FL
|  | $1,365,000 |
| 10-00676 | 04/25/2012 | Claimant(s): Barbara O'Donnell, James O'Donnell
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Paul Sidney Elliott, JD
Hearing Site: Tampa, FL
| | Stipulated Award |
| 09-07221 | 04/23/2012 | Claimant(s): Denise Fournier
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Beverly S. Gordon
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-02756 | 04/23/2012 | Claimant(s): SIG Real Estate Holdings.
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): William F. Glaser, Nicholas G. Dukas, Oliver J. Janney
Hearing Site: Tampa, FL
| | Expungement |
| 11-00511 | 04/23/2012 | Claimant(s): Mark Emden, Mark Jerome Emden Traditional IRA Acct.
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Kathryn M. Welsh, Jeffrey R Fuller, Gerald F. Gude
Hearing Site: Tampa, FL
| | $0 |
| 10-00794 | 04/20/2012 | Claimant(s): Neil W. Savage Revocable Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Kathryn M. Welsh, Richard Manuel Barcia, Irwin Glazer
Hearing Site: Tampa, FL
| | $37,500 |
| 10-03082 | 04/20/2012 | Claimant(s): Estate of Joanne Liona Murray
Claimant Lawyers(s): Wayne T. Murray
Respondent(s): Gary Whittier, Roy Caso, MML Investors Services, Mass Mutual Financial Group
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Paul L. Matecki, Charles W. Lavender, Karl A. Vogeler
Hearing Site: Tampa, FL
| | $0 |
| 10-02056 | 04/12/2012 | Claimant(s): Cygnex
Claimant Lawyers(s): Neal Brickman
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Tracy Gerber
Arbitrator(s): Muriel Desloovere, Mary T. Hettig, Noel K. Evans
Hearing Site: Tampa, FL
| | Expungement |
| 10-01275 | 04/11/2012 | Claimant(s): Frank Ear and Roseann Ear
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Noel K. Evans
Hearing Site: Tampa, FL
| | Stipulated Award |
| 11-00724 | 03/08/2012 | Claimant(s): Alfred Hoffman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Oliver J. Janney, Karl A. Vogeler, James Howell Garrison
Hearing Site: Tampa, FL
| | $0 |
