| 17-02200 | 02/07/2019 | Claimant(s): Joel Christie, Kusum Christie
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry Giurato
Arbitrator(s): Gary E. Marcus, John Alan Hawke, David Schwartzberg
Hearing Site: Tampa, FL
|  | Expungement |
| 17-01999 | 01/18/2019 | Claimant(s): Nancy Mellon
Claimant Lawyers(s): Nancy Kimball Mellon
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Peter Roome
Respondent Lawyers(s): Patricia Cowart, Peter D. Roome
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | Expungement |
| 17-01706 | 01/16/2019 | Claimant(s): Joseph Collins, The Joseph L. Collins Rollover IRA
Claimant Lawyers(s): Joseph L. Collins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Maurice M. Feller, Gayle B. Carlson, Christopher William Crowley
Hearing Site: Tampa, FL
| | Expungement |
| 17-01222 | 11/15/2018 | Claimant(s): Robert Bakst, Silvia Bakst, Silvia Bakst Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Clearing Services, Robert Elkins
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Ronald A. Isackson, Jack A. Helms, Karl A. Vogeler
Hearing Site: Tampa, FL
| | Expungement |
| 16-02832 | 10/30/2018 | Claimant(s): Kathryn Schmierer
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Russell W. Merriman, Frank Brenner, Anne Marie Martin
Hearing Site: Tampa, FL
| | $360,800 |
| 18-00663 | 10/23/2018 | Claimant(s): Leslie Davis, Zachary Davis
Claimant Lawyers(s): Leslie M. Davis, Zachary R. Davis
Respondent(s): Ameriprise Financial Services., Joseph Rowe
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
| | $15,534 |
| 16-02940 | 10/03/2018 | Claimant(s): David Dunn
Claimant Lawyers(s): Mark E. Flagel
Respondent(s): Dominic Rota, Sean Lanci, Caldwell International Securities
Respondent Lawyers(s): Dominic Paul Rota, Paul Jacobs, Sean Francis Lanci
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
| | $210,000 |
| 17-00474 | 08/22/2018 | Claimant(s): James Grimes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Trustmont Financial Group.
Respondent Lawyers(s): William T. Krzton
Arbitrator(s): Arthur J. Zelenak, Frank Brenner, Carol B. Robinson
Hearing Site: Tampa, FL
| | $1,046,100 |
| 17-00062 | 08/13/2018 | Claimant(s): Guy Gannett Trust FBO Corson/Williams, Guy Gannett Trust FBO J. Gannett, et al
Claimant Lawyers(s): Justin Sauerwald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Richard J. Fuller, Elizabeth A. Townes, Sydney E. Blum
Hearing Site: Tampa, FL
| | Expungement |
| 16-01954 | 06/01/2018 | Claimant(s): Betty Barnes, Margaret Barbaro, Nancy Cunning, Susan Walls, The Harold R. Cunning, Jr. Trust
Claimant Lawyers(s): Vince Walls
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jack A. Helms, Martin Salzman, James E Moon
Hearing Site: Tampa, FL
| | Expungement |
