| 08-03495 | 04/01/2009 | Claimant(s): Keyur Gada
Claimant Lawyers(s): Keyur Gada
Respondent(s): Zecco Trading.
Respondent Lawyers(s): Francesco Matteini
Arbitrator(s): Thomas F. Shine
Hearing Site: Orlando, FL
|  | $213 |
| 08-02376 | 03/25/2009 | Claimant(s): Richard Wolff, Ruth Wolff
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Stifel Nicolaus & Company. as Succe
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert J. Walter, Stephen A. Saker, Arve Alexander Wikstrom
Hearing Site: Orlando, FL
| | $158,228 |
| 08-00366 | 02/24/2009 | Claimant(s): The Kopel Family Fdtn Charitable Rem Tr
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Keegan & Company., Regions Financial Corp.
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Robert L. Hudson, Horace A. Andrews, John Morris Hudson
Hearing Site: Orlando, FL
| | $0 |
| 07-02251 | 02/13/2009 | Claimant(s): Charles D. Stubbs & Jacqueline Stubbs, Stephen D. Stubbs & Robin L. Stubbs
Claimant Lawyers(s): Thomas J. Fraser
Respondent(s): John Means, Matthew Wilson
Respondent Lawyers(s): Dennis Dice, Matthew Wilson
Arbitrator(s): Stan West, Helen G. Bradley, Thomas Roe Oldt
Hearing Site: Orlando, FL
| | $857,200 |
| 08-00119 | 02/12/2009 | Claimant(s): Mr. & Mrs. James H. Morton
Claimant Lawyers(s): Sonia Morton
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Arthur L. Sirkin, Horace A. Andrews, David C. Matthews
Hearing Site: Orlando, FL
| | $0 |
| 07-01679 | 02/05/2009 | Claimant(s): Daniel Day
Claimant Lawyers(s): K. Michael Swann
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Stan West, Suzanne E. Reynolds-Brady, Thomas K. Goldie
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
| 08-00829 | 02/04/2009 | Claimant(s): Sharon Davis
Claimant Lawyers(s): Marc J. Ross
Respondent(s): Bruce Guarino, Christopher Ferrara, Christopher Pollina, Edward Puttick, George Hasapes, John Williams, Joseph Natoli, Advanced Planning Securities., Rockwell Global Capital
Respondent Lawyers(s): David S. Smith, John Jackson Williams, Joseph F. Keenan
Arbitrator(s): Stuart K. Furman, Robert J. Walter, Greg Knight
Hearing Site: Orlando, FL
| | $0 |
| 08-00174 | 01/30/2009 | Claimant(s): Gennette Chase, Jimmy W. Chase and Genette P. Chase
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Archibald L. Watkins, Harvey Alan Blicksilver, Margaret R. Hoyt
Hearing Site: Orlando, FL
| | $0 |
| 08-00117 | 01/21/2009 | Claimant(s): Daniel J. Day Living Trust, Diane D. Arnold Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert J. Walter, Benjamin L. Abramowitz, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | $0 |
| 07-03290 | 11/04/2008 | Claimant(s): Patricia Gorski
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Brian D. Elias
Arbitrator(s): Robert N. Duggan, Mitchel Weiss, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | $0 |
