| 16-01784 | 03/22/2019 | Claimant(s): Anne Grey
Claimant Lawyers(s): Evan H. Frederick
Respondent(s): Anthony Grey, Sterne, Agee & Leach.
Respondent Lawyers(s): Julie W. Portera, Phillip J. Snyderburn
Arbitrator(s): Susanne J. Hollander, Kenrick Albert Pratt, Lynn Francia Nelson
Hearing Site: Orlando, FL
|  | $400,000 |
| 17-00197 | 06/30/2017 | Claimant(s): David Kaplan, Nedra Kaplan
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Aaron Hattem, Stifel, Nicolaus & Co.., Neil Hattem
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | $300 |
| 17-00178 | 06/28/2017 | Claimant(s): Robert Crumrine
Claimant Lawyers(s): Robert E. Norton
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | $300 |
| 13-03012 | 04/07/2015 | Claimant(s): Hilary Musser, Cooper Management Co.
Claimant Lawyers(s): Steven M. Coren
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Barclays Capital Inc.
Respondent Lawyers(s): Coren H. Stern, Julie W. Portera
Arbitrator(s): Will Murphy, Harold S. Stern, Joseph Michael Librie
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01828 | 07/11/2013 | Claimant(s): Edna Thompson, Edna E. Thompson CGM IRA Custodian
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Julie W. Portera, Todd H. Cox
Arbitrator(s): Daniel H. Kolber, Donald Milo Helton, J. Wesley Romine
Hearing Site: Birmingham, AL
| | Expungement |
| 12-01582 | 07/02/2013 | Claimant(s): Luis Rojas
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sandra Caldera
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Myron E. Levenson, Will Murphy, Soraya Maria Figueiredo
Hearing Site: Miami, FL
| | Expungement |
| 11-03762 | 05/28/2013 | Claimant(s): Robert Scott, Family Trust FBO Gregory Scott, Florida Qualified Personal Resident Trus, Gregory Scott Tee of Robert W. Scott, Jr, R. Scott, Jr. Grandchildren Spray Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Linda M. Granata, Richard J. Kaplan, Carlos E. Ayala
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-02444 | 05/15/2013 | Claimant(s): Alina Bolano, Andres Bolano
Claimant Lawyers(s): Lawrence A. Kellogg
Respondent(s): Michael Anton, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Carl Shechter, Stephen I. Gilman, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | $0 |
| 12-00065 | 10/10/2012 | Claimant(s): Arthur W. Curtis, Jr. Trust, Cynthia S. Curtis Trust
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas Joseph Atkinson, Daniel P. Lund, Robert M. Bath
Hearing Site: Orlando, FL
| | Expungement |
| 10-04454 | 06/09/2011 | Claimant(s): Edward Murray
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): William H. Fleece
Hearing Site: Clearwater, FL
| | $25,425 |
