| 21-02657 | 04/01/2022 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Keith Esp
Respondent Lawyers(s): Keith Adam Esp
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
| | |
| 21-02023 | 03/15/2022 | Claimant(s): Steven Mctaggart
Claimant Lawyers(s): John D. Stewart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Perreault
Arbitrator(s): Langfred W. White
Hearing Site: Tampa, FL
| | |
| 21-01552 | 02/25/2022 | Claimant(s): Richard Miller
Claimant Lawyers(s): Zachary Morse
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | |
| 21-01360 | 02/18/2022 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Daniel H. Kolber
Respondent(s): Keen Growth Capital Fund II LP
Respondent Lawyers(s): Howard N. Kahn
Arbitrator(s): David M. Snyder
Hearing Site: Tampa, FL
| | |
| 19-00509 | 02/11/2022 | Claimant(s): James LeFebvre, Trustee
Claimant Lawyers(s): Bart Heemskerk
Respondent(s): Dennis LeFebvre, UBS Financial Services Inc., Michael Martin, Patrick Donnelly
Respondent Lawyers(s): Dennis L. LeFebvre, Gregory S. Sparer, Matthew B. Baum
Arbitrator(s): Kenneth R. Starr, Brian Patrick Quinn, Jerome Blevins
Hearing Site: Tampa, FL
|  | $0 |
| 21-02923 | 02/07/2022 | Claimant(s): Gregory Kadet
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
| | |
| 19-02920 | 01/25/2022 | Claimant(s): Michael Azzarelli
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Brian Patrick Quinn, Vlad Gerard Spitzer, Jason Paul Ramos
Hearing Site: Tampa, FL
| | Expungement |
| 20-01831 | 01/18/2022 | Claimant(s): Nancy Mellon
Claimant Lawyers(s): Nancy Kimball Mellon
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Neil M. Katsuyama
Arbitrator(s): Gary L. Hodge, Karl A. Vogeler, Richard Kennard Hurley
Hearing Site: Tampa, FL
| | |
| 21-00834 | 12/20/2021 | Claimant(s): Robert Yahney
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
| | |
| 20-03223 | 12/17/2021 | Claimant(s): Gerald O'Halloran
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Edward Jones, A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff, Jon Hackbarth
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
| | |
