| 11-01658 | 01/10/2013 | Claimant(s): D7 Trading, Kingdom Legacy Fund
Claimant Lawyers(s): Tucker Harrison Byrd
Respondent(s): Penson Financial Services., TD Ameritrade Holding Corporation, Thinkorswim. n/k/a Bellevue Chicago
Respondent Lawyers(s): Joseph A. Matteo
Arbitrator(s): George K. Beardsley, Donald K. Runkle, Charles W. Lavender
Hearing Site: Tampa, FL
|  | $0 |
| 10-05395 | 11/09/2012 | Claimant(s): Daniel Fanelli
Claimant Lawyers(s): Brandon S. Peters
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Alan E. Linden, Charles W. Lavender, Wallace Morton Rudolph
Hearing Site: Orlando, FL
| | $36,250 |
| 10-00712 | 05/22/2012 | Claimant(s): Jack Lewis
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
| | Stipulated Award |
| 10-02073 | 04/25/2012 | Claimant(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
| | Stipulated Award |
| 10-03082 | 04/20/2012 | Claimant(s): Estate of Joanne Liona Murray
Claimant Lawyers(s): Wayne T. Murray
Respondent(s): Gary Whittier, Roy Caso, MML Investors Services, Mass Mutual Financial Group
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Paul L. Matecki, Charles W. Lavender, Karl A. Vogeler
Hearing Site: Tampa, FL
| | $0 |
| 10-03511 | 10/04/2011 | Claimant(s): Angela Allen, Christopher Allen, Angela Allen IRA, Christopher M. Allen IRA
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Thinkorswim.
Respondent Lawyers(s): Howard J. Kaplan
Arbitrator(s): Diana A. Weiner, Dennis R. Sullivan, Charles W. Lavender
Hearing Site: Tampa, FL
| | $228,000 |
| 10-03041 | 05/23/2011 | Claimant(s): Ann Fox
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Jerry Clark
Respondent Lawyers(s): Jerry Clark
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
| | $196,146 |
| 09-02643 | 05/20/2010 | Claimant(s): Carol Bell, Walter Bell
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Sara Soto
Arbitrator(s): V. Michael Pabalis, Dennis R. Nolte, Charles W. Lavender
Hearing Site: Orlando, FL
| | $0 |
| 08-03576 | 12/17/2009 | Claimant(s): Christine M. Dann Trust U/A DTD 10/04/06
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance Bostic
Arbitrator(s): Gary F. Lang, Gayle B. Carlson, Charles W. Lavender
Hearing Site: Orlando, FL
| | $0 |
