| 18-02839 | 05/13/2019 | Claimant(s): Marissa Zalay
Claimant Lawyers(s): E. LeBron Free
Respondent(s): UBS Financial Services Inc., Michael Cowan, Comerica Securities
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Darryl C. Wilson, Martin M. Van Luven, Oliver J. Janney
Hearing Site: Tampa, FL
|  | Dismissed by Rule 12206/12504 |
| 12-01360 | 02/06/2014 | Claimant(s): Gail Greene, on behalf of her IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John R. Pepe, Oliver J. Janney
Hearing Site: Tampa, FL
| | Expungement |
| 12-00536 | 05/16/2013 | Claimant(s): Gary Kern
Claimant Lawyers(s): Gary W. Kern
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Ronald H. Walton, Steele Thomas Williams, Oliver J. Janney
Hearing Site: Tampa, FL
| | $0 |
| 10-02756 | 04/23/2012 | Claimant(s): SIG Real Estate Holdings.
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): William F. Glaser, Nicholas G. Dukas, Oliver J. Janney
Hearing Site: Tampa, FL
| | Expungement |
| 11-00724 | 03/08/2012 | Claimant(s): Alfred Hoffman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Oliver J. Janney, Karl A. Vogeler, James Howell Garrison
Hearing Site: Tampa, FL
| | $0 |
| 10-05587 | 03/05/2012 | Claimant(s): Barry Rosenfeld
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): William S. Glickfield, Don Muyskens, Oliver J. Janney
Hearing Site: Tampa, FL
| | $435,075 |
| 09-02926 | 11/10/2011 | Claimant(s): Margaret Noble
Claimant Lawyers(s): Margaret K Noble
Respondent(s): Edward Rosenberg, Richard Angelotti
Respondent Lawyers(s): Marc Dobin, Richard Henry Angelotti
Arbitrator(s): Muriel Desloovere, Oliver J. Janney, Keith M. Crouse
Hearing Site: Tampa, FL
| | Expungement |
| 09-07051 | 03/11/2011 | Claimant(s): Ross Carter and Jane Carter
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Diana A. Weiner, Jason D. White, Oliver J. Janney
Hearing Site: Tampa, FL
| | Expungement |
| 09-06267 | 01/27/2011 | Claimant(s): Arthur Rodriguez
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Edith N. Dinneen, Michael William Landsberg, Oliver J. Janney
Hearing Site: Tampa, FL
| | $0 |
| 06-01056 | 08/03/2007 | Claimant(s): Harland L. Beers Rollover IRA
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Legg Mason Wood Walker
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): John Steve Azadian, Russell W. Merriman, Oliver J. Janney
Hearing Site: Tampa, FL
| | Stipulated Award |
