| 12-02957 | 06/24/2013 | Claimant(s): Helen Hall
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Gayle B. Carlson
Hearing Site: Orlando, FL
|  | $11,657 |
| 11-03990 | 12/11/2012 | Claimant(s): Pamela Johnson, Thomas Johnson, T. & P. Johnson, on behalf of IRA/Trusts
Claimant Lawyers(s): Stephen D. Milbrath
Respondent(s): Steven Thagard, Northwestern Mutual Investment Services
Respondent Lawyers(s): Jason M. Fedo, Michael A. Massari
Arbitrator(s): Robert J. Walter, Gayle B. Carlson, Laura Anne Wheeler
Hearing Site: Orlando, FL
| | Expungement |
| 10-03322 | 12/05/2012 | Claimant(s): Leonard Zisman, Susan Eichler, Estate of Sylvia Zisman, Sylvia Zisman Revocable Liv Trust No. 2, Sylvia Zisman Revocable Living Trust
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Kathy Busch, Global Planning.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert H. Nelson, Gayle B. Carlson, Joseph John Mantione
Hearing Site: Orlando, FL
| | Expungement |
| 08-04276 | 12/16/2010 | Claimant(s): James Murphy
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): William F. Glaser, David M. Snyder, Gayle B. Carlson
Hearing Site: Tampa, FL
| | $1,042,990 |
| 09-00949 | 02/12/2010 | Claimant(s): Vijay Reddy
Claimant Lawyers(s): William B. Young
Respondent(s): Shondeep Balchandani, NSM Securities.
Respondent Lawyers(s): Stephen B. Wexler
Arbitrator(s): J. Porter McClean, Gayle B. Carlson, Frank William Savino
Hearing Site: Orlando, FL
| | $0 |
| 08-03576 | 12/17/2009 | Claimant(s): Christine M. Dann Trust U/A DTD 10/04/06
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance Bostic
Arbitrator(s): Gary F. Lang, Gayle B. Carlson, Charles W. Lavender
Hearing Site: Orlando, FL
| | $0 |
