| 10-00311 | 04/12/2012 | Claimant(s): Albert Seivold, Deborah Seivold
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Muriel Desloovere
Hearing Site: Orlando, FL
|  | Stipulated Award |
| 10-00310 | 04/10/2012 | Claimant(s): Gerald Hummel, Ila Hummel, Hummel Family Trust dated 8/8/01
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Noel K. Evans
Hearing Site: Orlando, FL
| | Stipulated Award |
| 07-00666 | 04/02/2012 | Claimant(s): Alan Grayson, AMG Trust
Claimant Lawyers(s): Eric M. Rolinson, Tucker H. Byrd
Respondent(s): Wachovia Securities
Respondent Lawyers(s): David A. Picon
Arbitrator(s): Richard K. Wilson, Gary F. Lang, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $852,000 |
| 11-02768 | 03/29/2012 | Claimant(s): Valerie F. Shipman, IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
| | $0 |
| 11-00388 | 03/02/2012 | Claimant(s): Mary Carkeet
Claimant Lawyers(s): K. Michael Swann
Respondent(s): International Assets Advisory, Llc
Respondent Lawyers(s): Kevin A. Carreno
Arbitrator(s): David M. Levine, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $0 |
| 11-00208 | 02/28/2012 | Claimant(s): Donna Keppen, Steven Keppen, Donna Keppen Trust, Steven Keppen Trust
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): William H. Steinbrenner, V. Michael Pabalis, Susanne J. Hollander
Hearing Site: Orlando, FL
| | $0 |
| 10-02526 | 01/09/2012 | Claimant(s): Fornell Enterprises. 401(K) PSP
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawerence Polk
Arbitrator(s): Kathryn J. Toronto, Marc Kalish, Jane L. Lawless
Hearing Site: Orlando, FL
| | $214,618 |
| 10-03719 | 11/04/2011 | Claimant(s): Jack Beattie
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marc S. Piven, Marc T. Danon, Diana A. Weiner
Hearing Site: Orlando, FL
| | $230,000 |
| 10-03083 | 10/11/2011 | Claimant(s): Joan Schultz
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Daniel Deighan, Boogie Investment Group., Deighan Financial Advisors.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Harvey Alan Blicksilver, Floyd Edward Roberts, Irwin Baron
Hearing Site: Orlando, FL
| | $179,514 |
| 10-04445 | 09/02/2011 | Claimant(s): Evanna Ondeck Cohen Rev Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): John R. Pepe, Benjamin L. Abramowitz, Harvey Alan Blicksilver
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
