22-02855 | 08/22/2023 | Claimant(s): Kenneth Smith IRA Claimant Lawyers(s): Chase Carlson Respondent(s): LPL Financial LLC Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Kenneth R. Starr, Michael Anthony Barrella, Kevin M Schmitt Hearing Site: Tampa, FL
| | Expungement |
22-02970 | 08/16/2023 | Claimant(s): William Durrant Claimant Lawyers(s): Lawton R. Graves Respondent(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda Respondent Lawyers(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda Arbitrator(s): Kathy A. Tatone, Thomas J. Patka, Caroline Josephine Welsh Hearing Site: Tampa, FL
| | Expungement |
18-02917 | 08/11/2023 | Claimant(s): Bill Nguyen Claimant Lawyers(s): W. Andrew Clayton Respondent(s): TD Ameritrade., Nguyen Capital Partners Respondent Lawyers(s): Neil S. Baritz, W. Andrew Clayton Arbitrator(s): Langfred W. White, Darryl C. Wilson, Gayle B. Carlson Hearing Site: Tampa, FL
| | $1,207,550 |
22-02974 | 06/23/2023 | Claimant(s): Ian Landicho Claimant Lawyers(s): Ian I. Landicho Respondent(s): Robinhood Financial. Respondent Lawyers(s): Simeon M. Schopf Arbitrator(s): Maurice M. Feller Hearing Site: Tampa, FL
| | $0 |
21-01495 | 06/07/2023 | Claimant(s): Mark Haye Claimant Lawyers(s): Kathleen Patchel Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Richard F. Lubarsky Arbitrator(s): Kenneth R. Starr, Steele Thomas Williams, John Arthur Riherd Hearing Site: Tampa, FL
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20-04186 | 06/05/2023 | Claimant(s): Chad Tenkley IRA Claimant Lawyers(s): Michael Hill Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Lawton R. Graves Arbitrator(s): Martin M. Van Luven Hearing Site: Tampa, FL
| | Expungement |
22-02129 | 05/08/2023 | Claimant(s): Ellen and Ken Strang Claimant Lawyers(s): Ken Strang Respondent(s): Brent Bassler, E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): Susan S. Bentley Hearing Site: Tampa, FL
| | $300 |
22-01704 | 05/08/2023 | Claimant(s): Cary Kleinfield Claimant Lawyers(s): Harris Freedman Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Gianluca Morello Arbitrator(s): Karl A. Vogeler Hearing Site: Tampa, FL
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22-02054 | 04/06/2023 | Claimant(s): John Redhead Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Maurice M. Feller, Howard B. Scherer, Karl A. Vogeler Hearing Site: Tampa, FL
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22-02094 | 03/24/2023 | Claimant(s): Tradestation Securities. Claimant Lawyers(s): Steven M. Greenbaum Respondent(s): Marc Pozzuoli Respondent Lawyers(s): Marc D. Pozzuoli Arbitrator(s): Vlad Gerard Spitzer Hearing Site: Tampa, FL
| | $17,312 |