| 12-02744 | 09/17/2013 | Claimant(s): Thomas McLaughlin
Claimant Lawyers(s): Kevin M. McLaughlin
Respondent(s): Morgan Stanley, Matthew Van Someren, Susan Kahn
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Benjamin L. Abramowitz, Raymond E. Cornelius, David Edwin Link
Hearing Site: Orlando, FL
|  | Expungement |
| 10-04929 | 09/16/2013 | Claimant(s): Nasirdin Madhany, Zeenat Madhany, Nasirdin H. Madhany Revocable Trust, Zeenat Madhany Revocable Trust
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Robert J. Walter, Floyd Edward Roberts, Theodore Haynes
Hearing Site: Orlando, FL
| | $3,185,300 |
| 11-03723 | 08/27/2013 | Claimant(s): Katharine Hazen, Kirk Hazen
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Patricia Gunn
Hearing Site: Orlando, FL
| | Expungement |
| 13-00185 | 07/26/2013 | Claimant(s): Nancy Bold
Claimant Lawyers(s): William B. Young
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | Expungement |
| 12-03835 | 07/10/2013 | Claimant(s): Henry Hancock, Khalid Nazir, Richard Dino, Sandra Hershberg, James Goodman IRA, Jonathan Lobatto IRA, James L. Fosshage Profit Sharing Plan, Steffke Family Revocable Trust, The Red Trust
Claimant Lawyers(s): Phillip J. Snyderburn
Respondent(s): Grace Financial Group LLC
Respondent Lawyers(s): William Kebbe, Esq.
Arbitrator(s): Beverly S. Gordon
Hearing Site: Orlando, FL
| | $51,600 |
| 12-02817 | 07/02/2013 | Claimant(s): The Estate of Elvira C. Iasso
Claimant Lawyers(s): John Narccarelli
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert G. Geeseman
Hearing Site: Orlando, FL
| | $300 |
| 12-02957 | 06/24/2013 | Claimant(s): Helen Hall
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Gayle B. Carlson
Hearing Site: Orlando, FL
| | $11,657 |
| 11-01714 | 06/13/2013 | Claimant(s): Ralph Sergott
Claimant Lawyers(s): Jahan Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Ronald W. Devoe, Thomas Joseph Atkinson, Stephen A. Saker
Hearing Site: Orlando, FL
| | Expungement |
| 12-00495 | 05/15/2013 | Claimant(s): John Trammell and Catherine Trammell
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jack A. Helms
Hearing Site: Orlando, FL
| | Expungement |
| 11-04384 | 03/26/2013 | Claimant(s): Richard Gallagher
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): TD Ameritrade., Jerry Clark
Respondent Lawyers(s): James J. Vihstadt, Jerry Eaton Clark
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $580,000 |
