| 20-03247 | 03/24/2021 | Claimant(s): Steven Dick
Claimant Lawyers(s): Matthew G. White
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan Hackbarth
Arbitrator(s): Brian G. Mooney
Hearing Site: Nashville, TN
| | |
| 20-01667 | 02/26/2021 | Claimant(s): Primo Bushati
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Bankers Life Securities.
Respondent Lawyers(s): Steven K. Huffer
Arbitrator(s): Brian G. Mooney
Hearing Site: Tampa, FL
| | |
| 16-02594 | 02/23/2018 | Claimant(s): Carol Rizzo
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Brian G. Mooney, Nicholas John Taldone, Ian S. Greig
Hearing Site: Tampa, FL
|  | $0 |
| 17-01286 | 01/29/2018 | Claimant(s): Coling Wiens
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Kristen Kinney
Arbitrator(s): Brian G. Mooney
Hearing Site: Tampa, FL
| | |
| 14-01863 | 12/31/2014 | Claimant(s): Stuart Siegel
Claimant Lawyers(s): Edwin B. Kagan
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leon T. Kogan
Arbitrator(s): Brian G. Mooney
Hearing Site: Tampa, FL
| | |
| 13-01262 | 08/13/2014 | Claimant(s): Kevin Daniels
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Steven Sugarman, Cor Clearing LLC
Respondent Lawyers(s): Bruce W. Barnes, David L. Aronoff
Arbitrator(s): Roger W. Van Deusen, Brian G. Mooney, Ronald H. Walton
Hearing Site: Tampa, FL
| | |
| 12-03284 | 04/15/2014 | Claimant(s): Christa Collins, Justus Essman
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): LPL Financial LLC, UVEST Financial Services Group.
Respondent Lawyers(s): Peter W. Howell, Sara B. Davis
Arbitrator(s): Brian G. Mooney, Edith N. Dinneen
Hearing Site: Tampa, FL
| | Expungement |
| 12-01117 | 04/23/2013 | Claimant(s): John Powell
Claimant Lawyers(s): William T. Kirtley
Respondent(s): International Financial Solutions.
Respondent Lawyers(s): Joel R. Beck
Arbitrator(s): Brian G. Mooney
Hearing Site: Tampa, FL
| | |
| 10-01691 | 02/22/2011 | Claimant(s): Morton Wolverton
Claimant Lawyers(s): William T. Kirtley
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Scott J. Vold
Arbitrator(s): Langfred W. White, Brian G. Mooney, Michael R. Alford
Hearing Site: Tampa, FL
| | |
| 07-01912 | 08/11/2008 | Claimant(s): The Estate of Leonard D. Miles,, Marian J. Miles IRA, Leonard D. Miles and Marian J. Miles, Marian J. Miles Family Trust
Claimant Lawyers(s): William B. Young
Respondent(s): MidSouth Capital.
Respondent Lawyers(s): Thomas R. Todd, Jr
Arbitrator(s): Brian G. Mooney, Robert L. Hudson, Glenn W. Wheelock
Hearing Site: Orlando, FL
| | $225 |
