Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 10-00863 | 06/22/2012 | Claimant(s): John A. Boccio and Barbara Boccio Claimant Lawyers(s): Stephen D. Spivey Respondent(s): Neal Smalbach Respondent Lawyers(s): Whitney M. Krouse Arbitrator(s): Richard J. Fuller Hearing Site: Orlando, FL |  | Stipulated Award |
| 11-02423 | 06/22/2012 | Claimant(s): Thomas Symonds, Thomas B Symonds, TTEE Claimant Lawyers(s): Thomas B Symonds Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Lisa B. Dodge Arbitrator(s): Robert J. Walter Hearing Site: Orlando, FL | | $575 |
| 11-02238 | 06/08/2012 | Claimant(s): Raymer F. Maguire Trust Claimant Lawyers(s): Jeffrey R. Sonn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rebecca E. Swenson Arbitrator(s): Diana A. Weiner, Raymond E. Cornelius Hearing Site: Orlando, FL | | Expungement |
| 11-00670 | 06/07/2012 | Claimant(s): Francis Bolduc Claimant Lawyers(s): Eric M. Rolinson Respondent(s): Wells Fargo Advisors, Susan Baiocco Respondent Lawyers(s): Jason S. Haselkorn Arbitrator(s): Stuart K. Furman, Greg Knight, Jack A. Helms Hearing Site: Orlando, FL | | Expungement |
| 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 |
| 10-00054 | 05/18/2012 | Claimant(s): Kelvin Banfield Claimant Lawyers(s): Stephen D. Spivey Respondent(s): Neal Smalbach Respondent Lawyers(s): Whitney Krosse Arbitrator(s): Christopher M. Shulman Hearing Site: Orlando, FL | | Stipulated Award |
| 11-02745 | 05/17/2012 | Claimant(s): Alice Potter Claimant Lawyers(s): David Liebrader Respondent(s): Lawrence Rasche Respondent Lawyers(s): Jason D. Winter Arbitrator(s): Thomas F. Shine, David C. Matthews, Alan E. Linden Hearing Site: Orlando, FL | | $0 |
| 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 |
| 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 |
| 11-00717 | 04/20/2012 | Claimant(s): Joseph Sleiman Claimant Lawyers(s): Eric M Rolinson Respondent(s): John Mclaughlin, Morgan Keegan & Company. Respondent Lawyers(s): Lee H. Zell Arbitrator(s): Cary L. Weissman, Robert S. Mautner, Larry J. Craddock Hearing Site: Orlando, FL | | $0 |