| 10-05587 | 03/05/2012 | Claimant(s): Barry Rosenfeld
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): William S. Glickfield, Don Muyskens, Oliver J. Janney
Hearing Site: Tampa, FL
|  | $435,075 |
| 10-03880 | 02/22/2012 | Claimant(s): Donald Haynes
Claimant Lawyers(s): Kevin S Koplin
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Beverly S. Gordon
Hearing Site: Tampa, FL
| | Expungement |
| 09-05950 | 02/14/2012 | Claimant(s): Robert Rose, Russell Brautigam, Tom L. Poe and Margie Elaine Poe, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Evelyn Best
Arbitrator(s): Paul L. Matecki, William F. Glaser, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 10-00053 | 02/07/2012 | Claimant(s): Richard C. & Nancy J. Carsberg
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Neal Smalbach
Arbitrator(s): Russell W. Merriman
Hearing Site: Tampa, FL
| | $125,030 |
| 11-02529 | 02/06/2012 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Brian Kovack
Respondent(s): Charles Coley
Respondent Lawyers(s): Charles Harrison Coley
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
| | |
| 11-00106 | 01/13/2012 | Claimant(s): PCF LLC, TGV LLC
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): William Kring, Triad Advisors.
Respondent Lawyers(s): J. Steven Parker
Arbitrator(s): Arthur DeStefano, William H. Fleece, John T. Luce
Hearing Site: Tampa, FL
| | Dismissed by Rule 12504 |
| 11-03148 | 12/15/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Scott Dascani
Respondent Lawyers(s): Scott Dascani
Arbitrator(s): William F. Glaser
Hearing Site: Tampa, FL
| | |
| 11-01859 | 11/25/2011 | Claimant(s): Gerald Ohalloran
Claimant Lawyers(s): Gerald J. O'Halloran
Respondent(s): Walter Vazquez
Respondent Lawyers(s): Walter Vazquez
Arbitrator(s): H. Steven Holtzman
Hearing Site: Tampa, FL
| | |
| 10-02080 | 11/21/2011 | Claimant(s): Bernard Rothschild, The Bernard W. Rothschild Foundation Inc, Bernard Rothschild Rev Living Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Manuel Schultz, Ronald W. Lasday, Kenneth R. Starr
Hearing Site: Tampa, FL
| | Expungement |
| 10-03084 | 11/11/2011 | Claimant(s): Carolyn Smith, John Smith, Sr. (Annuity), Carolyn K. Smith IRA, John Edward Smith, Sr. IRA
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Alison Hardage, Muriel Desloovere, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | $55,861 |
