| 18-00670 | 12/03/2018 | Claimant(s): Richard Happle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
| | |
| 17-01222 | 11/15/2018 | Claimant(s): Robert Bakst, Silvia Bakst, Silvia Bakst Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Clearing Services, Robert Elkins
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Ronald A. Isackson, Jack A. Helms, Karl A. Vogeler
Hearing Site: Tampa, FL
|  | Expungement |
| 18-00245 | 11/09/2018 | Claimant(s): Robert Harwood
Claimant Lawyers(s): Eric Litow
Respondent(s): Trustmont Financial Group.
Respondent Lawyers(s): Anthony C. Hladek
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
| | |
| 16-02832 | 10/30/2018 | Claimant(s): Kathryn Schmierer
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Russell W. Merriman, Frank Brenner, Anne Marie Martin
Hearing Site: Tampa, FL
| | $360,800 |
| 17-02106 | 10/23/2018 | Claimant(s): Brian Stone
Claimant Lawyers(s): Peter B King
Respondent(s): Pacific Select Distributors
Respondent Lawyers(s): Jennifer S. Bullock
Arbitrator(s): Langfred W. White, Jerrold E. Slutzky, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | |
| 18-00501 | 10/23/2018 | Claimant(s): Jeffrey LaBelle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Woodbury Financial Services., Next Financial Group.
Respondent Lawyers(s): Bradley A. Fishman, John T. Unger
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
| | |
| 18-00663 | 10/23/2018 | Claimant(s): Leslie Davis, Zachary Davis
Claimant Lawyers(s): Leslie M. Davis, Zachary R. Davis
Respondent(s): Ameriprise Financial Services., Joseph Rowe
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
| | $15,534 |
| 18-02086 | 10/10/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jessica Klein
Respondent(s): Faine Beckerman
Respondent Lawyers(s): Faine Paula Beckerman
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 16-02940 | 10/03/2018 | Claimant(s): David Dunn
Claimant Lawyers(s): Mark E. Flagel
Respondent(s): Dominic Rota, Sean Lanci, Caldwell International Securities
Respondent Lawyers(s): Dominic Paul Rota, Paul Jacobs, Sean Francis Lanci
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
| | $210,000 |
| 17-00474 | 08/22/2018 | Claimant(s): James Grimes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Trustmont Financial Group.
Respondent Lawyers(s): William T. Krzton
Arbitrator(s): Arthur J. Zelenak, Frank Brenner, Carol B. Robinson
Hearing Site: Tampa, FL
| | $1,046,100 |
