| 11-00611 | 10/17/2012 | Claimant(s): Peggy A. Boyles IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mimi B. Osiason, Frank Brenner, Audrey Belitz Rauchway
Hearing Site: Tampa, FL
|  | $0 |
| 11-02934 | 10/01/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Matthew Tarrance
Respondent Lawyers(s): Matthew A Tarrance
Arbitrator(s): Noel K. Evans
Hearing Site: Tampa, FL
| | |
| 11-03145 | 09/18/2012 | Claimant(s): Michael Lena
Claimant Lawyers(s): Ryan D. Barack
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Mark E. Zelek
Arbitrator(s): Roger C. Benson, Patricia Gunn, Randall Simmons Smith
Hearing Site: Tampa, FL
| | |
| 11-03503 | 08/21/2012 | Claimant(s): Joe Forrest
Claimant Lawyers(s): Ronald W. Chapman
Respondent(s): Paul Arnold
Respondent Lawyers(s): Paul Arnold
Arbitrator(s): Bernard S. Carrey, Edith N. Dinneen, Diana A. Weiner
Hearing Site: Tampa, FL
| | $986,135 |
| 11-03478 | 08/09/2012 | Claimant(s): David K. Berg
Claimant Lawyers(s): David K. Berg
Respondent(s): Bari Havlik, Charles Schwab, Charles Schwab & Co.., Paul Okonoski
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
| | Expungement |
| 09-07216 | 06/27/2012 | Claimant(s): Dianne Atkins, James Atkins
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Constance d'Angelis
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-03553 | 06/21/2012 | Claimant(s): Donald Casey, Josephine Casey
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Donald R. Ormrod, Maurice M. Feller, Alfred Brunette
Hearing Site: Tampa, FL
| | Expungement |
| 09-07029 | 06/18/2012 | Claimant(s): Rose Fava, Rose Marie Fava Revocable Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Ernie Garcia, Morgan Stanley
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Langfred W. White, Robert J. Morris, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 10-00309 | 06/11/2012 | Claimant(s): Theresa Lillis, Theresa F. Lillis Living Trust
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-00102 | 06/08/2012 | Claimant(s): Samual and Mary Hall
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Beverly S. Gordon, Robert J. Morris, Richard R. Logsdon
Hearing Site: Tampa, FL
| | |
