| 15-01579 | 06/30/2017 | Claimant(s): Antoinette Hawkins, Jack Hawkins
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Nancy Biddle, National Planning Corporation
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Roger W. Van Deusen, Ian S. Greig, John T. Luce
Hearing Site: Tampa, FL
|  | Expungement |
| 16-02054 | 06/01/2017 | Claimant(s): Bethine Filion, B. Filion as Ben. of Bethine Filion IRA, B. Filion as Ben. of Richard Filion IRA, Filion Family Living Trust dtd 1/18/1992
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Garry Savage, Wall Street Strategies.
Respondent Lawyers(s): Garry N. Savage, Garry Nelson Savage
Arbitrator(s): Gayle B. Carlson, Frank Brenner, Walter William Blenner
Hearing Site: Tampa, FL
| | $769,300 |
| 15-03111 | 05/17/2017 | Claimant(s): Margaret White
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wall Street Strategies.
Respondent Lawyers(s): Anthony McGeorge
Arbitrator(s): William H. Fleece, John A. Torraco, Joanna Salapska-Gelleri
Hearing Site: Tampa, FL
| | $138,857 |
| 15-02894 | 04/07/2017 | Claimant(s): Daniel Pesante Armstrong
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Alise J. Henry, Joelle A. Simms
Arbitrator(s): Richard S. Zaifert, Ian S. Greig, Michael I. Rauchway
Hearing Site: Tampa, FL
| | $425 |
| 15-02220 | 04/03/2017 | Claimant(s): Carolee McCardle, Dale Stake, Donald McCardle, Jeffrey Roberts, Larry Gigax, Michael Ryan, Pamela Stichion, Ronald Stichion, Shelby Roberts, 912 Holdings
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Roger W. Van Deusen, Stuart Sinai, Benjamin E. Fisher
Hearing Site: Tampa, FL
| | $668,675 |
| 16-00220 | 03/07/2017 | Claimant(s): Deborah Pfeiffer, Virginia M. Pizzi Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Martorana
Arbitrator(s): David F. Simon, Millicent B. Athanason, Brian Patrick Quinn
Hearing Site: Tampa, FL
| | Expungement |
| 15-02776 | 02/15/2017 | Claimant(s): The DBSI Private Actions Trust
Claimant Lawyers(s): Edward W. Larkin
Respondent(s): Christopher Goslin
Respondent Lawyers(s): M. Scott Holcomb
Arbitrator(s): Janet Stern Solomon, Richard R. Logsdon, Brenda Kay Blount
Hearing Site: Tampa, FL
| | $0 |
| 16-01301 | 12/27/2016 | Claimant(s): James Stewart, James C. Stewart IRA, F. Stewart Rev Liv Trust U/A/D/ 01/23/91, James C. Stewart Trust U/A/D/ 09/22/86
Claimant Lawyers(s): D. Daxton White
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Muriel Desloovere, Jacquelyn M. Shannon, Joseph John Mantione
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
| 16-01601 | 12/22/2016 | Claimant(s): Ann MacLean, Donald MacLean, Ann MacLean IRA, Donald MacLean IRA
Claimant Lawyers(s): Howard Rosenfield, Joshua Kons
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Ian S. Greig
Hearing Site: Tampa, FL
| | $37,531 |
| 15-00211 | 10/28/2016 | Claimant(s): Greenall.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): LPL Financial LLC, George Leidel
Respondent Lawyers(s): Joshua A. Katz, Ryan T. Probstfeld
Arbitrator(s): Patricia Gunn, John B. Roe, Karl A. Vogeler
Hearing Site: Tampa, FL
| | Expungement |
