| 15-00211 | 10/28/2016 | Claimant(s): Greenall.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): LPL Financial LLC, George Leidel
Respondent Lawyers(s): Joshua A. Katz, Ryan T. Probstfeld
Arbitrator(s): Patricia Gunn, John B. Roe, Karl A. Vogeler
Hearing Site: Tampa, FL
|  | Expungement |
| 15-01933 | 10/14/2016 | Claimant(s): Cor Clearing LLC
Claimant Lawyers(s): Jeremy E. Deutsch
Respondent(s): Jonnie Williams
Respondent Lawyers(s): Robert L. Rocke
Arbitrator(s): Patricia Gunn, Thomas J. Patka, Karl A. Vogeler
Hearing Site: Tampa, FL
| | $0 |
| 16-00788 | 10/03/2016 | Claimant(s): David Battle
Claimant Lawyers(s): David D. Battle
Respondent(s): Optionshouse
Respondent Lawyers(s): Myra Mormile-Wolper
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
| | $0 |
| 16-01541 | 09/30/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Richard Vega
Respondent Lawyers(s): Richard Diego Vega
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
| | |
| 15-02204 | 09/02/2016 | Claimant(s): Andrew Carsell, Linda Carsell
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Michael Deboer, Interactive Brokers LLC, Signator Financial Services.
Respondent Lawyers(s): John J. Nielands, Joshua N. Cook, Michael Jon Deboer
Arbitrator(s): Carole M. Crosby, Francis Eugene Welper, David Schwartzberg
Hearing Site: Tampa, FL
| | $0 |
| 15-01956 | 08/19/2016 | Claimant(s): David George
Claimant Lawyers(s): Robert Savage
Respondent(s): Eagle Asset Management. CRD 110653, Eagle Fund Distributors.
Respondent Lawyers(s): Tammie L. Rattray
Arbitrator(s): Langfred W. White, Thomas Roe Oldt, Rochelle Friedman Walk
Hearing Site: Tampa, FL
| | |
| 15-02927 | 07/28/2016 | Claimant(s): Jack Wolff
Claimant Lawyers(s): Joel Wertman
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Patrick D. King, Gayle B. Carlson, Sydney E. Blum
Hearing Site: Tampa, FL
| | |
| 14-03606 | 07/27/2016 | Claimant(s): The Adventure Group Revocable Living
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Lawson Financial Corporation
Respondent Lawyers(s): Daniel P. Dietrich
Arbitrator(s): Roger C. Benson
Hearing Site: Tampa, FL
| | $523,617 |
| 15-01664 | 07/18/2016 | Claimant(s): Tommy Ayala-Rivera
Claimant Lawyers(s): Tommy Ayala-Rivera
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Gregory D. Hoffmann, Donald N. Malawsky, Gary E. Marcus
Hearing Site: Tampa, FL
| | |
| 16-00052 | 07/06/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Holly Conover-Wade, James Wade
Respondent Lawyers(s): Holly Conover-Wade DO NOT CONTACT, James William Wade - DO NOT CONTACT
Arbitrator(s): Roger C. Benson, Joseph E. Santaularia, Muriel Desloovere
Hearing Site: Tampa, FL
| | Expungement |
