| 13-00089 | 11/01/2013 | Claimant(s): Kristopher Brownlow, Alison Carpenter, as trustee D. Mason, as trustee M. Mason
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Retirement Securities., Sterling Enterprises Group.
Respondent Lawyers(s): Alyn Towne, Stanley Fishman
Arbitrator(s): Constance d'Angelis, Russell W. Merriman, A.J. Seier
Hearing Site: Tampa, FL
|  | $901,053 |
| 12-02426 | 09/19/2013 | Claimant(s): Larry Mastropietro
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Constance d'Angelis, Frank Brenner, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | Expungement |
| 11-03039 | 04/18/2013 | Claimant(s): Joan Levenson
Claimant Lawyers(s): Robert V Cornish
Respondent(s): Dwight Wheelan, Scott Barcomb, Berthel, Fisher & Co Financial Services.
Respondent Lawyers(s): Gary Irwin
Arbitrator(s): Constance d'Angelis, Patrick D. King, John Leo Williams
Hearing Site: Tampa, FL
| | Expungement |
| 09-05535 | 02/22/2011 | Claimant(s): Maria Thornton
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John P. Cullem, Constance d'Angelis, Howard L. Hill
Hearing Site: Tampa, FL
| | $25,200 |
| 09-01842 | 04/08/2010 | Claimant(s): Domiciano Redondo
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ronald D. Shildler
Arbitrator(s): Constance d'Angelis, Lewis W. Slaughter, Charles R. Tindell
Hearing Site: Orlando, FL
| | $102,850 |
| 08-03846 | 11/06/2009 | Claimant(s): Martha Laura Howse
Claimant Lawyers(s): Martha Howse
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Constance d'Angelis, A. Michelle Jernigan, Julie Behr Zimmerman
Hearing Site: Orlando, FL
| | $225 |
