| 10-01682 | 12/07/2010 | Claimant(s): Allan Lyons, Lyons & Associates
Claimant Lawyers(s): Allan A. Lyons, Allan S. Lyons
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith Faro
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
|  | $775 |
| 09-00249 | 12/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Telum Winters
Respondent Lawyers(s): Telum Jackey Winters
Arbitrator(s): Harris E. Bunkin, Irwin Glazer, Marcy R. Greer
Hearing Site: Tampa, FL
| | |
| 09-06390 | 11/16/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross Carmel
Respondent(s): Kenneth Williamson
Respondent Lawyers(s): Kenneth T. Williamson
Arbitrator(s): Patricia A. Renovitch
Hearing Site: Tampa, FL
| | |
| 09-04960 | 10/18/2010 | Claimant(s): Marc Wolff, Wolff Investment Planning
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Moors & Cabot.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Russell W. Merriman, Lawrence Zenville Rosenberg, Robert Knickerbocker
Hearing Site: Tampa, FL
| | |
| 09-04354 | 10/15/2010 | Claimant(s): Jane Nave, William Nave, Jane Nave Revocable Living Trust, William Nave Revocable Living Trust
Claimant Lawyers(s): Philip J. Synderburn
Respondent(s): Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrills
Arbitrator(s): Kathryn M. Welsh, Linda M. Pierson, John Frank Bauder
Hearing Site: Tampa, FL
| | Expungement |
| 10-02401 | 10/06/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Shannon Ness-Jackson
Respondent Lawyers(s): Shannon M. Ness-Jackson
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Tampa, FL
| | |
| 10-01207 | 09/29/2010 | Claimant(s): Jacob Zynger
Claimant Lawyers(s): Jacob Zynger
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Paul Sidney Elliott, JD
Hearing Site: Tampa, FL
| | $4,296 |
| 09-02798 | 09/23/2010 | Claimant(s): Julius Cantor
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Bradford Goldner, American Portfolios Financial Services,
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Brendan M. Murphy, Robert Stephen Burns
Hearing Site: Tampa, FL
| | Stipulated Award and Expungement |
| 09-04240 | 09/14/2010 | Claimant(s): Robert Lewis, Lewis & Associates., Ridgecrest Groves., John Benjamin Lewis & Robert W. Lewis, Barbara Murphy Lewis Trust, Robert Wayne Lewis Revocable Trust
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Patrick D. King, Marilyn K. Dirks, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 09-01577 | 09/09/2010 | Claimant(s): David Kronsbein
Claimant Lawyers(s): Vincent B. Lynch
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Jana Bruder
Arbitrator(s): Gordon G. Bowles, David M. Snyder, Russell W. Merriman
Hearing Site: Tampa, FL
| | |
