| 11-00587 | 06/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Kenneth Williamson
Respondent Lawyers(s): Kenneth Thomas Williamson
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Tampa, FL
| | |
| 09-05894 | 05/31/2011 | Claimant(s): John Hart
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Gawley, Keith Olin
Arbitrator(s): Paul E. Flora, Thomas J. Patka, Gary E. Marcus
Hearing Site: Tampa, FL
|  | Expungement |
| 10-02681 | 04/29/2011 | Claimant(s): Paul Ratzlaff, Paul H. Ratzlaff IRA
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Kathryn M. Welsh, Lawrence Gray Sanders, Irwin Glazer
Hearing Site: Tampa, FL
| | $0 |
| 10-01844 | 04/25/2011 | Claimant(s): Kenneth Ayers, Kenneth P. Ayers Revocable Living Trust
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Hal S. Holtsinger, Patricia Gunn, John Hughes Verchot
Hearing Site: Tampa, FL
| | $0 |
| 09-06430 | 04/15/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Larry J. Lipka
Respondent(s): Joseph Jackson
Respondent Lawyers(s): Joseph A. Jackson
Arbitrator(s): Richard Charles Hotvedt
Hearing Site: Tampa, FL
| | |
| 10-03595 | 03/30/2011 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Brian Kovack
Respondent(s): Marco Caporale
Respondent Lawyers(s): Marco A. Caporale
Arbitrator(s): James D. Keeney
Hearing Site: Tampa, FL
| | |
| 09-06972 | 03/25/2011 | Claimant(s): Judy Walters
Claimant Lawyers(s): Judy K Walters
Respondent(s): Wachovia Securities, Robert Moler
Respondent Lawyers(s): Daniel J. Gilfarb
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
| | $0 |
| 09-04530 | 03/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Shane Wheeler
Respondent Lawyers(s): Shane Wheeler
Arbitrator(s): John P. Cullem, Thomas R. Carlsen, Michael S. Hill
Hearing Site: Tampa, FL
| | |
| 09-07051 | 03/11/2011 | Claimant(s): Ross Carter and Jane Carter
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Diana A. Weiner, Jason D. White, Oliver J. Janney
Hearing Site: Tampa, FL
| | Expungement |
| 09-04274 | 02/28/2011 | Claimant(s): Marc Miller
Claimant Lawyers(s): George L. Guerra
Respondent(s): Edward Jones
Respondent Lawyers(s): Jason Haselkorn
Arbitrator(s): Richard J. Fuller, Mary T. Hettig, Gerald F. Gude
Hearing Site: Tampa, FL
| | |
