| 10-04904 | 10/21/2011 | Claimant(s): Caleb L. Batten Trust
Claimant Lawyers(s): Andre R Perron
Respondent(s): Wells Fargo Advisors, Mitchell Halperin
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): John P. Cullem, Patricia Gunn, Henry A. Tenenbaum
Hearing Site: Tampa, FL
|  | $110,271 |
| 09-05793 | 10/05/2011 | Claimant(s): Carl Cosio
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Rafael Calleja
Respondent Lawyers(s): Alise Johnson, Frederick S. Schrils, Neil S. Baritz
Arbitrator(s): Muriel Desloovere, William R. Turner, David F. Simon
Hearing Site: Tampa, FL
| | $248,874 |
| 10-03511 | 10/04/2011 | Claimant(s): Angela Allen, Christopher Allen, Angela Allen IRA, Christopher M. Allen IRA
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Thinkorswim.
Respondent Lawyers(s): Howard J. Kaplan
Arbitrator(s): Diana A. Weiner, Dennis R. Sullivan, Charles W. Lavender
Hearing Site: Tampa, FL
| | $228,000 |
| 10-00674 | 09/29/2011 | Claimant(s): The Core Fund
Claimant Lawyers(s): Victoria H Buter
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Gordon R. Bowker, Maurice M. Feller, Andrew Karay
Hearing Site: Tampa, FL
| | $0 |
| 10-01143 | 09/26/2011 | Claimant(s): Gerald L. Smolensky
Claimant Lawyers(s): Eliot Goldstein
Respondent(s): Neuberger Berman
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Robert J. Morris, Gary L. Hodge, Elwin Lawrence Saviet
Hearing Site: Tampa, FL
| | $109,000 |
| 10-01999 | 09/22/2011 | Claimant(s): Mary Pitman
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): United Equity Securities
Respondent Lawyers(s): William B. Park
Arbitrator(s): George Felos, Frank Brenner, Jason D. White
Hearing Site: Tampa, FL
| | $248,800 |
| 09-07204 | 09/16/2011 | Claimant(s): Mai Klein
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Edward Rosenberg, Robert Rosenberg
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | $2,500 |
| 10-03911 | 08/26/2011 | Claimant(s): Barbara Shimko, Joseph Shimko
Claimant Lawyers(s): John R. Kiefner
Respondent(s): J.P. Turner & Company
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Gordon G. Bowles, Jacquelyn M. Shannon, Lawrence Gray Sanders
Hearing Site: Tampa, FL
| | $0 |
| 10-01489 | 08/03/2011 | Claimant(s): Ken Skuba, Warren Farms Inc
Claimant Lawyers(s): James Anderson
Respondent(s): Raymond James Financial Services., Robert Walen
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Muriel Desloovere, Pamela S. Townsend, Darryl C. Wilson
Hearing Site: Tampa, FL
| | $0 |
| 09-06607 | 08/02/2011 | Claimant(s): Bruce Anderson, Bruce M. Anderson Irrevocable Trust
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Holly Callen, Kasey Hafenbrack, Keith Witter, Askar Corp.
Respondent Lawyers(s): Keith A. Witter, Livia E. Babcock
Arbitrator(s): H. Steven Holtzman, Paul E. Flora, Robert Stephen Burns
Hearing Site: Tampa, FL
| | Expungement |
