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FINRA Awards for Neal Smalbach

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Displaying 11-20 out of 23 results
Case Number Award Date Case Summary Customer Case? Amount Granted
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
10-0005405/18/2012Claimant(s): Kelvin Banfield
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Christopher M. Shulman
Hearing Site: Orlando, 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
10-0067604/25/2012Claimant(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
Checkmark IconStipulated Award
10-0207304/25/2012Claimant(s): Frances Dalmau, Julius Dalmau
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
Checkmark IconStipulated Award
09-0722104/23/2012Claimant(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
Checkmark IconStipulated Award
10-0031104/12/2012Claimant(s): Albert Seivold, Deborah Seivold
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Muriel Desloovere
Hearing Site: Orlando, FL
Checkmark IconStipulated Award
10-0127504/11/2012Claimant(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
Checkmark IconStipulated Award

23 Results

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