| 23-02800 | 05/22/2024 | Claimant(s): Jonathan Marshall
Claimant Lawyers(s): Jonathan Edward Marshall
Respondent(s): Lincoln Financial Securities Corporation
Respondent Lawyers(s): Benjamin Edwards
Arbitrator(s): Carole Crosby, Donald N. Malawsky, John G. Sciandra
Hearing Site: Tampa, FL
| | |
| 23-01550 | 05/17/2024 | Claimant(s): Equitable Advisors, Equitable Network
Claimant Lawyers(s): Amanda Sotak
Respondent(s): Wentworth Gardner
Respondent Lawyers(s): Alexander Padla
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 23-02947 | 05/15/2024 | Claimant(s): Dale Emerick
Claimant Lawyers(s): Joel M. Everest
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | |
| 23-01963 | 03/01/2024 | Claimant(s): Rudolf Molnar
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard S. Zaifert, David M. Snyder, Lisa Elkin Schwartz
Hearing Site: Tampa, FL
| | |
| 23-00563 | 02/12/2024 | Claimant(s): Steven Katz
Claimant Lawyers(s): Kevin Paule
Respondent(s): Wells Fargo Clearing Services, Benjamin F. Edwards & Company.
Respondent Lawyers(s): Jason Kempf, Leo Peraza
Arbitrator(s): John G. Sciandra, Wendi Blake, Natalie Paskiewicz
Hearing Site: Tampa, FL
|  | Expungement |
| 23-00573 | 01/31/2024 | Claimant(s): Manoj Bhartiya
Claimant Lawyers(s): Manoj Bhartiya
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Karimu F. Hill-Harvey, Elizabeth A. Townes, Natalie Paskiewicz
Hearing Site: Tampa, FL
| | $0 |
| 23-01856 | 01/05/2024 | Claimant(s): Roman Raykis
Claimant Lawyers(s): Scott L. Silver
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Carole Crosby
Hearing Site: Tampa, FL
| | Expungement |
| 23-01008 | 12/13/2023 | Claimant(s): Paul Murphy
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 23-00670 | 10/30/2023 | Claimant(s): Dianne Odom
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services., J.W. Cole Financial., Transamerica Financial Advisors
Respondent Lawyers(s): Gregg J. Breitbart, Jennifer R. Cox, Susan D. Duff
Arbitrator(s): David M. Snyder, Nathan Jon Larson, Bryant Ashley Scriven
Hearing Site: Tampa, FL
| | |
| 22-00521 | 10/26/2023 | Claimant(s): Mary Ann Miller, Estate of Angeline Cagliola
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): David M. Snyder, Kenneth R. Starr, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | Expungement |
