| 11-00420 | 02/06/2013 | Claimant(s): Joseph Kowalski
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): William F. Glaser, Richard R. Logsdon, Robert Lewis Matthews
Hearing Site: Tampa, FL
|  | Expungement |
| 11-01658 | 01/10/2013 | Claimant(s): D7 Trading, Kingdom Legacy Fund
Claimant Lawyers(s): Tucker Harrison Byrd
Respondent(s): Penson Financial Services., TD Ameritrade Holding Corporation, Thinkorswim. n/k/a Bellevue Chicago
Respondent Lawyers(s): Joseph A. Matteo
Arbitrator(s): George K. Beardsley, Donald K. Runkle, Charles W. Lavender
Hearing Site: Tampa, FL
| | $0 |
| 12-01920 | 12/26/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Deborah G. Evans
Respondent(s): Rafael Calleja
Respondent Lawyers(s): Rafael Antonio Calleja
Arbitrator(s): Carole M. Crosby
Hearing Site: Tampa, FL
| | |
| 11-04256 | 12/21/2012 | Claimant(s): Joseph Pappy
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Scott David Anton
Hearing Site: Tampa, FL
| | $47,366 |
| 12-01849 | 12/19/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Eric M. Chial, Jonathan Berg, Esq.
Respondent(s): David Manno
Respondent Lawyers(s): David T. Manno
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 12-00726 | 11/13/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Alison Janke
Respondent Lawyers(s): Alison Janke
Arbitrator(s): Carole M. Crosby
Hearing Site: Tampa, FL
| | |
| 12-01438 | 11/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don Boswell
Respondent(s): Benjamin Graham
Respondent Lawyers(s): Benjamin Graham
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
| | |
| 12-01555 | 11/08/2012 | Claimant(s): GunnAllen Financial
Claimant Lawyers(s): William J. Schifino
Respondent(s): Alfred Cali
Respondent Lawyers(s): Alfred Guy Cali
Arbitrator(s): Charles W. Lavender
Hearing Site: Tampa, FL
| | |
| 11-03727 | 11/01/2012 | Claimant(s): Suzanne Kreis
Claimant Lawyers(s): Steele T. Williams
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
| | $0 |
| 11-03486 | 10/25/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Kenneth Klespies
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Ronald H. Walton, Edith N. Dinneen, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | |
