15-03204 | 01/22/2018 | Claimant(s): Interactive Brokers LLC Claimant Lawyers(s): David Luger Respondent(s): Ashok Mittal Respondent Lawyers(s): Arthur C. Koski Arbitrator(s): Martin M. Van Luven, Joseph John Mantione, Shannon Nicole Boyd Hearing Site: Tampa, FL
| | $0 |
16-01301 | 12/27/2016 | Claimant(s): James Stewart, James C. Stewart IRA, F. Stewart Rev Liv Trust U/A/D/ 01/23/91, James C. Stewart Trust U/A/D/ 09/22/86 Claimant Lawyers(s): D. Daxton White Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Matthew E. Wolper Arbitrator(s): Muriel Desloovere, Jacquelyn M. Shannon, Joseph John Mantione Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
13-03784 | 08/31/2015 | Claimant(s): Ana Lopez-Gonzalez, Andres Ricardo Gomez, Wave Management LLC, as Trustee for AG I Claimant Lawyers(s): Jacob H. Zamansky Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR Respondent Lawyers(s): Peter J. Macdonald, Roberto C. Quinones Arbitrator(s): Stuart K. Furman, Frances Johnson Wright, Joseph John Mantione Hearing Site: San Juan, PR
| | $2,930,080 |
12-04306 | 07/14/2014 | Claimant(s): Beatrice Turner, Carol Jenkins, David Colton, James Buchanan, Jeanine Vaerewyck, Philip Ussery, Ronald Vaerewyck, Susan Fenhaus, William Jenkins Claimant Lawyers(s): D. Daxton White Respondent(s): Reef Securities. Respondent Lawyers(s): Laura J. O'Rourke Arbitrator(s): Robert J. Walter, Joseph John Mantione, Robert S. Anderson Hearing Site: Orlando, FL
| | $188,000 |
12-00929 | 01/17/2014 | Claimant(s): John Frei, John P. Frei Revocable Trust Dated 1/25/ Claimant Lawyers(s): Stephen D. Spivey Respondent(s): Gregory Levine, Morgan Stanley Respondent Lawyers(s): Timothy B. Atkins Arbitrator(s): Marc T. Danon, Benjamin L. Abramowitz, Joseph John Mantione Hearing Site: Orlando, FL
| | Expungement |
12-03340 | 12/24/2013 | Claimant(s): Renee Greenberg, Renee Greenberg Trust U/A DTD 3/21/02 Claimant Lawyers(s): Walter J. Mathews Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Alan S. Rafterman Arbitrator(s): John R. Pepe, Daniel P. Lund, Joseph John Mantione Hearing Site: Orlando, FL
| | Expungement |
12-02123 | 10/31/2013 | Claimant(s): Mary Ellis Claimant Lawyers(s): William B. Young Respondent(s): Morgan Stanley Smith Barney f/k/a Citi Respondent Lawyers(s): Gregg P. Garneau Arbitrator(s): Gayle B. Carlson, Joseph John Mantione, Theodore Haynes Hearing Site: Orlando, FL
| | Expungement |
10-03322 | 12/05/2012 | Claimant(s): Leonard Zisman, Susan Eichler, Estate of Sylvia Zisman, Sylvia Zisman Revocable Liv Trust No. 2, Sylvia Zisman Revocable Living Trust Claimant Lawyers(s): Robert H. Rex Respondent(s): LPL Financial LLC, Kathy Busch, Global Planning. Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Robert H. Nelson, Gayle B. Carlson, Joseph John Mantione Hearing Site: Orlando, FL
| | Expungement |
11-01845 | 05/01/2012 | Claimant(s): James Johnson Claimant Lawyers(s): Philip J. Snyderburn Respondent(s): Todd Bauerle, Bauerle Financial. Respondent Lawyers(s): Jeffrey B. Kelvin, Compliance Consultant, Kirk T. Bauer Arbitrator(s): Stuart K. Furman, Joseph John Mantione, Lauren S. Puritz Hearing Site: Orlando, FL
| | $7,500 |