| 15-00250 | 10/20/2015 | Claimant(s): Phyllis Kraus, William Kraus, The CPA Revocable Trust D/T/D 12/12/2006
Claimant Lawyers(s): D. Daxton White
Respondent(s): NFP Securities Inc.
Respondent Lawyers(s): Noah Snyder
Arbitrator(s): David P. Slater, Bruce K. Isenberg, Gary R Librizzi
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12206 |
| 13-01806 | 05/11/2015 | Claimant(s): J. Kenneth Harbour, Nancy Harbour, J.K. Harbour TTE of the Reduction Family
Claimant Lawyers(s): D. Daxton White
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Richard W. Cutler, William J. Greene, Ira M. Ross
Hearing Site: New York, NY
| | Expungement |
| 12-04306 | 07/14/2014 | Claimant(s): Beatrice Turner, Carol Jenkins, David Colton, James Buchanan, Jeanine Vaerewyck, Philip Ussery, Ronald Vaerewyck, Susan Fenhaus, William Jenkins
Claimant Lawyers(s): D. Daxton White
Respondent(s): Reef Securities.
Respondent Lawyers(s): Laura J. O'Rourke
Arbitrator(s): Robert J. Walter, Joseph John Mantione, Robert S. Anderson
Hearing Site: Orlando, FL
| | $188,000 |
| 12-02586 | 01/10/2014 | Claimant(s): Angela Belpedio
Claimant Lawyers(s): D. Daxton White
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Linda M. Granata, Peter A. Portley, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03028 | 10/11/2013 | Claimant(s): Milton Less
Claimant Lawyers(s): D. Daxton White
Respondent(s): Institutional Capital Management.
Respondent Lawyers(s): Vy-Vivian Nguyen
Arbitrator(s): Edward B. Scott, F. Wesley Bowers, Kenneth M. Jackson
Hearing Site: Nashville, TN
| | Stipulated Award |
| 12-00807 | 08/01/2013 | Claimant(s): Fred Guenther
Claimant Lawyers(s): D. Daxton White
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Lawrence Alexander Huerta, Otis E. Hackett, Kenneth Andrew Klinko
Hearing Site: San Diego, CA
| | Expungement |
| 12-01975 | 07/23/2013 | Claimant(s): Alex Binai
Claimant Lawyers(s): D. Daxton White
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michelle Judy Brant, Sterling N. Frost, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | Expungement |
| 12-00187 | 06/14/2013 | Claimant(s): Henry Hansen, Henry F. Hansen, IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01144 | 12/17/2012 | Claimant(s): Joseph Feld
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03599 | 05/24/2012 | Claimant(s): Rhonda Lonardo
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jay Fischer
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
| | $319 |
