23-00422 | 07/10/2023 | Claimant(s): Charles Fulmore Claimant Lawyers(s): Charles S. Fulmore Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Karl A. Vogeler Hearing Site: Orlando, FL
| | $41,850 |
19-01906 | 09/30/2021 | Claimant(s): Marcia Botsford Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Jacquelyn M. Shannon, Karl A. Vogeler, Michael I. Rauchway Hearing Site: Tampa, FL
| | Expungement |
21-00374 | 06/18/2021 | Claimant(s): David White Claimant Lawyers(s): David White Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): Karl A. Vogeler Hearing Site: Jackson, MS
| | $31,735 |
20-00132 | 06/11/2021 | Claimant(s): Angela Cameron Claimant Lawyers(s): Heather G. Anderson Respondent(s): LPL Financial LLC, Hassan Fawaz Respondent Lawyers(s): Eleonora Yonge, N. Nancy Ghabai Arbitrator(s): Karl A. Vogeler Hearing Site: Nashville, TN
| | Expungement |
19-02913 | 12/16/2020 | Claimant(s): Maria Redwine Claimant Lawyers(s): William B. Fleming Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Langfred W. White, Karl A. Vogeler, John Winslow Griesser Hearing Site: Columbia, SC
| | $167,294 |
19-01868 | 08/28/2020 | Claimant(s): Mary Hawks, Paul Hawks Claimant Lawyers(s): Paul Hawks Respondent(s): Alex Muscati, Morgan Stanley Respondent Lawyers(s): Christopher M. Sacco Arbitrator(s): Karl A. Vogeler Hearing Site: Tampa, FL
| | $0 |
18-01945 | 05/21/2020 | Claimant(s): Raymond George Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Leonel Peraza Arbitrator(s): Richard S. Zaifert, Karl A. Vogeler, Nicholas Gerald Castellano Hearing Site: Tampa, FL
| | Dismissed by Rule 12206/12504 |
17-03274 | 04/03/2019 | Claimant(s): SEP FBO Jon L. Shebel, Jon L. Shebel & Susan A. Shebel Claimant Lawyers(s): Charles Carlson Respondent(s): Barret Schultz, David McNally, Marshall Cassedy, McNally Financial Services Corporation Respondent Lawyers(s): Gary S. Kessler Arbitrator(s): Karl A. Vogeler, David A. Constantino, Meeta Alberta Bass Hearing Site: Jacksonville, 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 |
15-02445 | 10/24/2018 | Claimant(s): Manuel Diaz Claimant Lawyers(s): Eric Quetglas-Jordan Respondent(s): Popular Securities Respondent Lawyers(s): Alan M. Wolper Arbitrator(s): Karl A. Vogeler, A.J. Seier, Clarence B. Johnson Hearing Site: San Juan, PR
| | $0 |