| 15-00763 | 12/10/2015 | Claimant(s): Halen Capital
Claimant Lawyers(s): Peter J. Aldrich
Respondent(s): Christopher Gimblet
Respondent Lawyers(s): Christopher John Gimblet
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | |
| 15-00492 | 11/20/2015 | Claimant(s): Heidi O'Brien, Raymond O'Brien
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
|  | Expungement |
| 14-01599 | 11/11/2015 | Claimant(s): Marc Franco
Claimant Lawyers(s): Andre R. Perron
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Andrew Froman
Arbitrator(s): Colleen Grace, Joseph E. Santaularia, Thomas J. Patka
Hearing Site: Tampa, FL
| | |
| 13-03509 | 08/12/2015 | Claimant(s): Ruben Gardner
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Diana A. Weiner, Jacquelyn M. Shannon, Eric Zimmer
Hearing Site: Tampa, FL
| | |
| 14-00079 | 08/05/2015 | Claimant(s): Cor Clearing LLC
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): David Jarvis
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Carole M. Crosby, Richard J. Fuller, Daniel B. Daugherty
Hearing Site: Tampa, FL
| | |
| 15-00126 | 07/21/2015 | Claimant(s): Cameron Knight
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Robert Persante
Arbitrator(s): Ian S. Greig
Hearing Site: Tampa, FL
| | $15,425 |
| 14-00331 | 06/03/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Dennis Merritt
Respondent Lawyers(s): Stephany McLaughlin
Arbitrator(s): Benjamin E. Fisher, Jack W. Windt, Gerald F. Gude
Hearing Site: Tampa, FL
| | |
| 13-02749 | 05/22/2015 | Claimant(s): Brenda S. Kinard Trust U/A/D 09-19-2002
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Darryl C. Wilson, John L Mutolo, Joel David Cowart
Hearing Site: Tampa, FL
| | Expungement |
| 14-01810 | 04/29/2015 | Claimant(s): James Carpenter
Claimant Lawyers(s): Jorge Altamirano
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Mimi B. Osiason, Elizabeth A. Townes, Walter William Blenner
Hearing Site: Tampa, FL
| | Expungement |
| 13-03508 | 04/28/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Theodore Cavaliere
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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