| 10-00389 | 05/23/2012 | Claimant(s): Mary Pukatch, William Pukatch
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Nelson I. Fishman
Hearing Site: Tampa, FL
|  | Stipulated Award |
| 10-02777 | 05/23/2012 | Claimant(s): Marilyn Szymkiw-Schrieber, Michael Schreiber, The Schrieiber Living Trust DTD 12/1/06
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Timothy J. Currier, Jacqueline R. Fox, Gregory M. Gendron
Hearing Site: Detroit, MI
| | $237,597 |
| 10-03102 | 05/23/2012 | Claimant(s): Esrick Investments, SME Capital, SME Children
Claimant Lawyers(s): John W. Waechter
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Matthew Triggs
Arbitrator(s): Jacque E. Sohm, Stephen I. Gilman, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02030 | 05/23/2012 | Claimant(s): Joyce Sills
Claimant Lawyers(s): Joyce Marie Sills
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Jason Vigunas
Arbitrator(s): Joseph A. Kenary, Jane C. Carney, John Kevin Williams
Hearing Site: Richmond, VA
| | $0 |
| 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 |
| 10-01454 | 05/22/2012 | Claimant(s): Sharon Palas
Claimant Lawyers(s): Chad A. Snyder
Respondent(s): Bruce Lick, Wells Fargo Advisors, David Cooper
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Kathryn J. Hoy, Kathy A. Tatone, Frank Abramson
Hearing Site: Minneapolis, MN
| | $0 |
| 10-04990 | 05/22/2012 | Claimant(s): CSJ Family Partnership Ltd.
Claimant Lawyers(s): J. Mitchell Clark
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Morgan Stanley
Respondent Lawyers(s): Jonathan D. Robbins
Arbitrator(s): Ronald R. Simpson, Frank M. Romano, Donald K. Eckhardt
Hearing Site: Houston, TX
| | $0 |
| 10-00392 | 05/21/2012 | Claimant(s): Clarence Passehl, Marjorie Passehl, Passehl Family Trust, dtd 12/18/89
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Beverly S. Gordon, Gregory D. Hoffmann, Thomas Jeffrey Stringfield
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-00589 | 05/21/2012 | Claimant(s): Floyd W. Smith and MaryLou K. Smith
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Frank Brenner
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-00710 | 05/21/2012 | Claimant(s): Raymond Thomas
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | Stipulated Award |
