| 13-01243 | 07/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Edith N. Dinneen, Karl A. Vogeler, Erin Kathleen Linehan
Hearing Site: Tampa, FL
| | |
| 13-00086 | 08/05/2013 | Claimant(s): Jeffrey Kaplan
Claimant Lawyers(s): Jeffrey W. Kaplan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
|  | $1,700 |
| 12-01438 | 11/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don Boswell
Respondent(s): Benjamin Graham
Respondent Lawyers(s): Benjamin Graham
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
| | |
| 10-03082 | 04/20/2012 | Claimant(s): Estate of Joanne Liona Murray
Claimant Lawyers(s): Wayne T. Murray
Respondent(s): Gary Whittier, Roy Caso, MML Investors Services, Mass Mutual Financial Group
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Paul L. Matecki, Charles W. Lavender, Karl A. Vogeler
Hearing Site: Tampa, FL
| | $0 |
| 11-00724 | 03/08/2012 | Claimant(s): Alfred Hoffman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Oliver J. Janney, Karl A. Vogeler, James Howell Garrison
Hearing Site: Tampa, FL
| | $0 |
| 06-05081 | 04/24/2008 | Claimant(s): David Ossenmacher
Claimant Lawyers(s): John R. Kiefner
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nancy Anderson Tayborn
Arbitrator(s): Nicholas G. Dukas, Elizabeth A. Townes, Karl A. Vogeler
Hearing Site: Tampa, FL
| | |
