| 23-02670 | 08/16/2024 | Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Richard S. Zaifert, Steele Thomas Williams, Philip L. Manczak
Hearing Site: Tampa, FL
| | |
| 23-02475 | 08/06/2024 | Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Thomas J. Patka, Marilyn K. Dirks, John Alan Hawke
Hearing Site: Tampa, FL
| | |
| 23-01648 | 07/29/2024 | Claimant(s): Robin Garner
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Craig-Hallum Capital Group LLC
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): John P. Cullem, Oliver J. Janney, Monique Mavour
Hearing Site: Tampa, FL
| | |
| 23-03425 | 07/26/2024 | Claimant(s): Michael Bond
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): USAA Investment Services Company
Respondent Lawyers(s): David W Erb
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 22-02442 | 07/05/2024 | Claimant(s): Michael Pinkans
Claimant Lawyers(s): Michael Scott Pinkans
Respondent(s): Constance Snowden Capco, Robert Falato, Northern Trust Securities.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Alison Roberts Hardage, Susan S. Bentley, Joel F. Martineau
Hearing Site: Tampa, FL
| | |
| 23-01727 | 06/24/2024 | Claimant(s): Jennifer Jack
Claimant Lawyers(s): Harris Freedman
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Matthew V. DelDuca
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
| | |
| 23-00539 | 06/21/2024 | Claimant(s): Heather Silvestro, Kyle Silvestro
Claimant Lawyers(s): Adolfo J. Anzola
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Brian A. Briz
Arbitrator(s): Ian S. Greig, Jacquelyn M. Shannon, Eric Greenstein
Hearing Site: Tampa, FL
|  | Expungement |
| 23-02747 | 05/29/2024 | Claimant(s): Brian Visconti
Claimant Lawyers(s): Richard S. Meisner
Respondent(s): The Jeffrey Matthews Financial Group LLC
Respondent Lawyers(s): Ginny Colarusso
Arbitrator(s): Carole Crosby
Hearing Site: Tampa, FL
| | |
| 23-02931 | 05/23/2024 | Claimant(s): James Ciocia
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Richard S. Zaifert, Jerome Blevins, Brian E. Spletzer
Hearing Site: Tampa, FL
| | |
| 23-02819 | 05/23/2024 | Claimant(s): David Hanvey
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carolyn E. Moore
Hearing Site: Tampa, FL
| | |
