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FINRA Awards for Neal Smalbach

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Displaying 10 out of 24 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0721606/27/2012Claimant(s): Dianne Atkins, James Atkins
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Constance d'Angelis
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0086306/22/2012Claimant(s): John A. Boccio and Barbara Boccio
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krouse
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL
Checkmark IconStipulated Award
10-0030906/11/2012Claimant(s): Theresa Lillis, Theresa F. Lillis Living Trust
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0071106/07/2012Claimant(s): Robert Fox
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0086205/25/2012Claimant(s): Nicholas D'Angelo and Josephine D'Angelo
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Diana A. Weiner
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0127405/25/2012Claimant(s): Hector Sanchez and Lourdes M. Sanchez
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Muriel Desloovere, Thomas F. Icard, Leslie Reese Murtagh
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0031205/23/2012Claimant(s): Frances Minneci, Philip Minneci
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): H. Steven Holtzman
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0038905/23/2012Claimant(s): Mary Pukatch, William Pukatch
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Nelson I. Fishman
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
10-0071205/22/2012Claimant(s): Jack Lewis
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
Checkmark IconStipulated Award
10-0039205/21/2012Claimant(s): Clarence Passehl, Marjorie Passehl, Passehl Family Trust, dtd 12/18/89
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Beverly S. Gordon, Gregory D. Hoffmann, Thomas Jeffrey Stringfield
Hearing Site: Tampa, FL
Checkmark IconStipulated Award

24 Results

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