| 12-02107 | 10/24/2013 | Claimant(s): Wayne Turner
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): LPL Financial LLC, Sharon Fall, Uvest Financial Services Group.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Paul E. Flora, Russell W. Merriman, Gayle B. Carlson
Hearing Site: Tampa, FL
|  | Expungement |
| 13-00842 | 10/04/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Joseph Carpenter
Respondent Lawyers(s): Joseph Anthony Carpenter
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | |
| 11-04549 | 10/03/2013 | Claimant(s): Anderson & Strudwick Investment Corp., Anderson & Strudwickorporated
Claimant Lawyers(s): Robert Taylor Richard
Respondent(s): Donna Jenkins
Respondent Lawyers(s): Donna Jenkins
Arbitrator(s): Oliver J. Janney
Hearing Site: Tampa, FL
| | |
| 13-00817 | 09/27/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Katrina Mccabe
Respondent Lawyers(s): Katrina Marie McCabe
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
| | |
| 13-00688 | 09/24/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney R Reid
Respondent(s): Glenn Donahue
Respondent Lawyers(s): Glenn David Donahue
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
| | |
| 12-02426 | 09/19/2013 | Claimant(s): Larry Mastropietro
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Constance d'Angelis, Frank Brenner, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | Expungement |
| 13-01259 | 09/10/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Matthew Tarrance
Respondent Lawyers(s): Matthew A. Tarrance
Arbitrator(s): George K. Beardsley
Hearing Site: Tampa, FL
| | |
| 11-04129 | 08/21/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Patrick Bray
Respondent Lawyers(s): W. Nerlon Kirkland
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | |
| 11-04550 | 08/14/2013 | Claimant(s): Anderson & Strudwick Investment Corp., Anderson & Strudwickorporated
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Donald Gunn
Respondent Lawyers(s): Dionne C. Fajardo
Arbitrator(s): Roger W. Van Deusen, Jeffrey R Fuller, Martin Salzman
Hearing Site: Tampa, FL
| | |
| 13-00086 | 08/05/2013 | Claimant(s): Jeffrey Kaplan
Claimant Lawyers(s): Jeffrey W. Kaplan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
| | $1,700 |
