| 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 |
| 11-04320 | 06/22/2012 | Claimant(s): Stephen M. & Jeanine J. Mordecai
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Niel Prosser
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Birmingham, AL
| | $0 |
| 10-03553 | 06/21/2012 | Claimant(s): Donald Casey, Josephine Casey
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Donald R. Ormrod, Maurice M. Feller, Alfred Brunette
Hearing Site: Tampa, FL
| | Expungement |
| 10-04204 | 06/20/2012 | Claimant(s): Bluegrass Corporation.
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Manuel Gonzalez, Santander Securities
Respondent Lawyers(s): Alfredo Fernandez Martinez
Arbitrator(s): Robert H. Hagan, Stuart K. Furman, Guillermo A. Gleizer
Hearing Site: San Juan, PR
| | $74,500 |
| 10-04699 | 06/20/2012 | Claimant(s): Frank Umbriac
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Nipun J. Patel
Arbitrator(s): Diane Ciccone, Robert W. Ratti, David B. Harwi
Hearing Site: Philadelphia, PA
| | $50,000 |
| 09-06865 | 06/19/2012 | Claimant(s): David Shutan, IRA, David Shutan Revocable Trust, Irma Shutan Revocable Trust
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Jeffrey Sanders, Matt Winslow
Respondent Lawyers(s): Matt Winslow, Todd A. Zuckerbrod
Arbitrator(s): Steven R. Reininger, Joseph J. Slotnik, Joseph Leonard Friedes
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 12-00080 | 06/19/2012 | Claimant(s): Charlotte Reed
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Walter P. Hitchcock
Hearing Site: Birmingham, AL
| | $9,046 |
| 11-01142 | 06/19/2012 | Claimant(s): Greg Skafec
Claimant Lawyers(s): Thomas L. Mason
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Carolyn Guy
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 09-07029 | 06/18/2012 | Claimant(s): Rose Fava, Rose Marie Fava Revocable Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Ernie Garcia, Morgan Stanley
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Langfred W. White, Robert J. Morris, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 09-04863 | 06/18/2012 | Claimant(s): The Lawrence W. Davis Revocable Trust
Claimant Lawyers(s): Janice L. Davis
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): Thomas W. Borden, Walter P. Hitchcock, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
