| 10-00710 | 05/21/2012 | Claimant(s): Raymond Thomas
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
|  | Stipulated Award |
| 11-00341 | 12/22/2011 | Claimant(s): Sean McGrover
Claimant Lawyers(s): Sean Patrick McGrover
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Fleming
Respondent Lawyers(s): Peter R. Rosenzweig
Arbitrator(s): Maurice M. Feller, Stephen A. Saker, Robert M. Bath
Hearing Site: Orlando, FL
| | |
| 10-00674 | 09/29/2011 | Claimant(s): The Core Fund
Claimant Lawyers(s): Victoria H Buter
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Gordon R. Bowker, Maurice M. Feller, Andrew Karay
Hearing Site: Tampa, FL
| | $0 |
| 09-07204 | 09/16/2011 | Claimant(s): Mai Klein
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Edward Rosenberg, Robert Rosenberg
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | $2,500 |
| 09-04028 | 01/13/2011 | Claimant(s): Phyllis Williams, Phyllis S. Williams Revocable Trust
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | Expungement |
| 09-02082 | 12/20/2010 | Claimant(s): Donald Hanks
Claimant Lawyers(s): Don F. Hanks
Respondent(s): Betty Saunders, Raymond, James & Associates., Susan Saunders
Respondent Lawyers(s): Kelli Bullington, William W. Deem
Arbitrator(s): Robert W. Schlitt, Maurice M. Feller, Robert S. Anderson
Hearing Site: Orlando, FL
| | $0 |
| 08-04300 | 06/19/2009 | Claimant(s): Curtis Stewart
Claimant Lawyers(s): John N.C. Ledbertter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Maurice M. Feller
Hearing Site: Orlando, FL
| | $0 |
| 07-00375 | 04/24/2008 | Claimant(s): JoAnne Manchester
Claimant Lawyers(s): J. Benton Stewart
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christopher J. Gawley
Arbitrator(s): Thomas W. Sinclair, Thomas K. Goldie, Maurice M. Feller
Hearing Site: Orlando, FL
| | $0 |
