| 09-01649 | 12/21/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Marino
Respondent Lawyers(s): Thomas J. Marino
Arbitrator(s): Joseph D. Valenti, Bernard S. Carrey, Daniel B. Daugherty
Hearing Site: Tampa, FL
| | |
| 09-03228 | 12/07/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Gerald Chassang
Respondent Lawyers(s): Gerald D. Chassang
Arbitrator(s): Duncan H. Cameron
Hearing Site: Tampa, FL
| | |
| 09-03347 | 12/03/2009 | Claimant(s): Margaret G. Cargill Revocable Trust
Claimant Lawyers(s): Andre R. Perron
Respondent(s): David Cohen, Michael Cohen, Cohen Investment Management., Harbor Financial Services
Respondent Lawyers(s): Gary Irwin
Arbitrator(s): Paul Sidney Elliott, JD
Hearing Site: Tampa, FL
|  | $0 |
| 09-02470 | 11/04/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Kurt Wallen
Respondent Lawyers(s): Kurt David Wallen
Arbitrator(s): Jonathan H. Stein
Hearing Site: Tampa, FL
| | |
| 09-00357 | 10/30/2009 | Claimant(s): James W. Lyman and Judith Lyman
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Paul Marshall
Respondent Lawyers(s): Paul Marshall
Arbitrator(s): William H. Fleece, Ronald A. Isackson, David C. Matthews
Hearing Site: Tampa, FL
| | Expungement |
| 08-04898 | 10/23/2009 | Claimant(s): NIlda Lupco
Claimant Lawyers(s): Nilda Lupco
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Ian S. Greig
Hearing Site: Tampa, FL
| | $0 |
| 08-03696 | 10/22/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): John Fletcher
Respondent Lawyers(s): John Fletcher
Arbitrator(s): Frank J. DeStefano, Harry C. Treber, Steven Zerbarini
Hearing Site: Tampa, FL
| | |
| 08-02937 | 10/05/2009 | Claimant(s): Ertel Revocable Trust
Claimant Lawyers(s): Joseph A. Ertel
Respondent(s): Tony Turbeville, Brookstone Securities.
Respondent Lawyers(s): Brian P. Sweeney
Arbitrator(s): Robert J. Morris, Paul E. Flora, Philip C. Bennett
Hearing Site: Tampa, FL
| | $50,250 |
| 08-01238 | 09/11/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): D. Daxton White
Respondent(s): James Fournace
Respondent Lawyers(s): James A. Fournace
Arbitrator(s): John R Kiefner, Mimi B. Osiason, William Hugh Nenninger
Hearing Site: Tampa, FL
| | |
| 07-02973 | 08/27/2009 | Claimant(s): Kathleen Ternes, Marshall Glass, Richard Barnes, Keith and Rebecca Clower, Larry and Ellen Sagal
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Marco Caporale, Kovack Securities.
Respondent Lawyers(s): George L. Guerra, Marco Allessandro Caporale
Arbitrator(s): Samuel J. Henderson, Sharon Lee Chernin, David F. Simon
Hearing Site: Tampa, FL
| | $530,000 |
