| 13-00599 | 02/18/2014 | Claimant(s): Jeff Hogan IRA
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Thinkorswim
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): William H. Fleece, Maurice M. Feller, Teresa Joan Rooney
Hearing Site: Tampa, FL
|  | $14,852 |
| 12-01360 | 02/06/2014 | Claimant(s): Gail Greene, on behalf of her IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John R. Pepe, Oliver J. Janney
Hearing Site: Tampa, FL
| | Expungement |
| 13-01496 | 12/20/2013 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Jeremy Chaffin
Respondent Lawyers(s): Jeremy Jay Chaffin
Arbitrator(s): Gayle B. Carlson
Hearing Site: Tampa, FL
| | |
| 13-02050 | 12/17/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Eric Dishner
Respondent Lawyers(s): Eric Martin Dishner
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | |
| 13-01511 | 12/05/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): James Smillie
Respondent Lawyers(s): James Edward Smillie
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 12-00084 | 11/22/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Patrick Bray
Respondent Lawyers(s): W. Nelson Kirkland
Arbitrator(s): Thomas R. Carlsen, Kathryn M. Welsh, Terry L. Kors
Hearing Site: Tampa, FL
| | |
| 11-03874 | 11/22/2013 | Claimant(s): Edward Rurade
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): HBW Securities LLC
Respondent Lawyers(s): Jordan D. Maglich
Arbitrator(s): John P. Cullem, Gayle B. Carlson, Jeffrey R Fuller
Hearing Site: Tampa, FL
| | Expungement |
| 12-04272 | 11/14/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Robert Noxon
Respondent Lawyers(s): Robert Noxon
Arbitrator(s): Jack W. Windt
Hearing Site: Tampa, FL
| | |
| 13-02701 | 11/13/2013 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A Kenedy
Respondent(s): Michael Miller
Respondent Lawyers(s): Michael Douglas Miller
Arbitrator(s): Thomas J. Patka, Ken Ziesenheim, John Hughes Verchot
Hearing Site: Tampa, FL
| | |
| 13-00089 | 11/01/2013 | Claimant(s): Kristopher Brownlow, Alison Carpenter, as trustee D. Mason, as trustee M. Mason
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Retirement Securities., Sterling Enterprises Group.
Respondent Lawyers(s): Alyn Towne, Stanley Fishman
Arbitrator(s): Constance d'Angelis, Russell W. Merriman, A.J. Seier
Hearing Site: Tampa, FL
| | $901,053 |
