| 19-00453 | 11/21/2019 | Claimant(s): James Caldwell
Claimant Lawyers(s): Matt Wolper
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Maurice M. Feller
Hearing Site: Orlando, FL
| | |
| 19-01238 | 11/19/2019 | Claimant(s): Scott Hilton
Claimant Lawyers(s): Joseph A. Vallo
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia S. Cowart
Arbitrator(s): Maurice M. Feller, Adam Murray Walters, Niels Patrick Murphy
Hearing Site: Jacksonville, FL
| | |
| 18-03041 | 06/13/2019 | Claimant(s): Joseph Schofield
Claimant Lawyers(s): Jennifer A. Lesny Fleming
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
| | |
| 18-02823 | 05/03/2019 | Claimant(s): Bonnie Wettersten, Reid Wettersten
Claimant Lawyers(s): Reid Wettersten
Respondent(s): Yosef Fox
Respondent Lawyers(s): Yosef Yehuda Fox
Arbitrator(s): Richard S. Zaifert, Maurice M. Feller, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
|  | $150,425 |
| 18-03551 | 03/04/2019 | Claimant(s): David McKaig
Claimant Lawyers(s): David McKaig
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Maurice M. Feller
Hearing Site: Jacksonville, FL
| | $0 |
| 17-01706 | 01/16/2019 | Claimant(s): Joseph Collins, The Joseph L. Collins Rollover IRA
Claimant Lawyers(s): Joseph L. Collins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Maurice M. Feller, Gayle B. Carlson, Christopher William Crowley
Hearing Site: Tampa, FL
| | Expungement |
| 18-00055 | 04/03/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Jason Sullivan
Respondent Lawyers(s): Jason David Sullivan
Arbitrator(s): Maurice M. Feller
Hearing Site: Orlando, FL
| | |
| 16-03101 | 02/12/2018 | Claimant(s): Raniero Gimeno
Claimant Lawyers(s): Robert Savage
Respondent(s): Eagle Asset Management., Eagle Fund Distributors.
Respondent Lawyers(s): Tammie L. Rattray
Arbitrator(s): Maurice M. Feller, Nicholas G. Dukas, James Mathieu
Hearing Site: Tampa, FL
| | |
| 16-03458 | 12/21/2017 | Claimant(s): Joyce Paley, Sheldon Paley
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Alison Gardner, Morgan Stanley
Respondent Lawyers(s): Katherine C. Donlon, Kimberly J. Gustafson
Arbitrator(s): Edith N. Dinneen, Maurice M. Feller, Christopher William Crowley
Hearing Site: Tampa, FL
| | Expungement |
| 15-01104 | 12/18/2017 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas K. Potter
Respondent(s): Bradley Fullington
Respondent Lawyers(s): Bradley Wayne Fullington
Arbitrator(s): Maurice M. Feller, Mary F. Kampa O'Mara, Sarah J. Nordlund
Hearing Site: Nashville, TN
| | |
