| 09-05556 | 05/21/2010 | Claimant(s): John Sellers
Claimant Lawyers(s): John Garnet Sellers
Respondent(s): Donald Wojnowski, Steven Rabinovici, Empire Financial Group., Empire Investment Advisors., Jesup & Lamont Inc., Jesup & Lamont Securities Corp, Penson Financial Services.
Respondent Lawyers(s): Mark Cuccaro, Todd A. Zuckerbrod
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
| | |
| 08-04592 | 05/19/2010 | Claimant(s): Thomas DiBenedetto
Claimant Lawyers(s): Richard A. Roth
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Don Muyskens, Ellen I. Siegman, John William Bowman
Hearing Site: Tampa, FL
|  | $425,000 |
| 08-04331 | 04/27/2010 | Claimant(s): Clifford Lee
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Langfred W. White, Robert Stephen Burns, Francis Joseph Bourgeois
Hearing Site: Tampa, FL
| | $0 |
| 08-04274 | 04/19/2010 | Claimant(s): Joshua Lowe
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): D. Daxton White
Arbitrator(s): Horace A. Andrews, David F. Simon, Dennis R. Sullivan
Hearing Site: Tampa, FL
| | |
| 08-03813 | 04/06/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Brian Prost
Respondent Lawyers(s): Brian E. Prost
Arbitrator(s): Bernard S. Carrey, Oscar W. Carlson, Duncan H. Cameron
Hearing Site: Tampa, FL
| | |
| 09-01995 | 03/30/2010 | Claimant(s): Karen Hankinson
Claimant Lawyers(s): Karen R. Hankinson
Respondent(s): Kathleen Mcpherson, Kenneth Brown, Russell Riccobono, Scott Brooks, Stanley Brooks, Steve Skytte, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald E. Hemke, H. Thomas Fehn, Kathleen Margaret McPherson, Russell Robert Riccobono, Steve Skytte
Arbitrator(s): Thomas H. McAvoy, Michael D. Hamilton, Laurent Taylor
Hearing Site: Tampa, FL
| | |
| 08-03947 | 03/10/2010 | Claimant(s): Sturla Terry Canale Living Trust
Claimant Lawyers(s): Jan Douglas Atlas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): John P. Cullem, Howard L. Hill, Donald R. Smith
Hearing Site: Tampa, FL
| | $50,000 |
| 08-03571 | 03/05/2010 | Claimant(s): David Solger, Jimmy Ackerman, Judith Solger
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Robert Dokken
Respondent Lawyers(s): Robert S. Dokken
Arbitrator(s): Edith N. Dinneen, Linda L. Busby, Alexander Myers
Hearing Site: Tampa, FL
| | $191,590 |
| 08-04321 | 02/01/2010 | Claimant(s): Abid A. Shah Trust UAD 9/12/92
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Clyde McMullen, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Edith N. Dinneen, Jack A. Helms, Keith M. Crouse
Hearing Site: Tampa, FL
| | $255,000 |
| 09-02907 | 12/22/2009 | Claimant(s): Derrell Billington
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
| | $213 |
