| 18-02917 | 08/11/2023 | Claimant(s): Bill Nguyen
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): TD Ameritrade., Nguyen Capital Partners
Respondent Lawyers(s): Neil S. Baritz, W. Andrew Clayton
Arbitrator(s): Langfred W. White, Darryl C. Wilson, Gayle B. Carlson
Hearing Site: Tampa, FL
|  | $1,207,550 |
| 18-00095 | 04/17/2019 | Claimant(s): James Carey
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Joseph I. Goldstein, Cindy L. Anderson, Mary Ann Etzler
Hearing Site: Orlando, FL
| | $0 |
| 11-04257 | 08/02/2013 | Claimant(s): Jim F. Eddins and Janet A. Eddins
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Dennis Makarewicz, First Security Capital Management., First Security Capital Management
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Gordon G. Bowles, Darryl C. Wilson, Thomas F. Icard
Hearing Site: Tampa, FL
| | $0 |
| 09-05843 | 05/02/2013 | Claimant(s): Beatrice Pigno, Carolyn Andre, Chia Liu, Chu Mein, Clifton Dufour, Cody Milton, David Stelly, Dolores Perry, Eric Pace, George Quartano, Gerald Perry, Jean Tsai, John Murphy, John Templet, Jung Lo, Lisa Dufour, Lola Stelly, Loleta Soloman, Marc Stelly, Pat Milton, et al
Claimant Lawyers(s): Lance C. McCardle, W. Andrew Clayton
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Clayton J. Borne, Brian P. Jakes, Richard J. Clement
Hearing Site: New Orleans, LA
| | Expungement |
| 09-07029 | 06/18/2012 | Claimant(s): Rose Fava, Rose Marie Fava Revocable Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Ernie Garcia, Morgan Stanley
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Langfred W. White, Robert J. Morris, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 10-02080 | 11/21/2011 | Claimant(s): Bernard Rothschild, The Bernard W. Rothschild Foundation Inc, Bernard Rothschild Rev Living Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Manuel Schultz, Ronald W. Lasday, Kenneth R. Starr
Hearing Site: Tampa, FL
| | Expungement |
| 10-02351 | 10/13/2011 | Claimant(s): Robert Sudduth, The Robert Sudduth Family Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Frederick H. Bruce, Leon T. Roberts, Jeffrey Ackermann
Hearing Site: New Orleans, LA
| | $0 |
| 10-01490 | 06/20/2011 | Claimant(s): Jack Windt, Jack WM. Windt Revocable Living Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Edward Rosenberg
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 10-02681 | 04/29/2011 | Claimant(s): Paul Ratzlaff, Paul H. Ratzlaff IRA
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Kathryn M. Welsh, Lawrence Gray Sanders, Irwin Glazer
Hearing Site: Tampa, FL
| | $0 |
| 09-04093 | 03/08/2011 | Claimant(s): Emmett Carter
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): James Holdman, Penson Financial Services.
Respondent Lawyers(s): MacAllynn J. Achee, Mark G. Hanchet
Arbitrator(s): Daniel Eugene Bivins, Frederick S. Duncan, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $869,170 |
