| 13-00853 | 10/13/2014 | Claimant(s): Deborah Fleischer, Gary Fleischer, Gary & Deborah Fleischer Rev Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): David Lerner Associates., David Lerner, Michael Uvenio
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Cindy L. Anderson, Stuart K. Furman, Jeanne Crandall
Hearing Site: Jacksonville, FL
|  | Expungement |
| 11-01964 | 06/16/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Laura J. Starr
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Susan Jefferbaum Beck, Robert H. Nelson, Daniel P. Lund
Hearing Site: Jacksonville, FL
| | |
| 13-03776 | 05/21/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Matthew Ortman
Respondent Lawyers(s): Matthew John Ortman
Arbitrator(s): Mitchel Weiss
Hearing Site: Jacksonville, FL
| | |
| 12-04121 | 03/11/2014 | Claimant(s): Daniel Joseph
Claimant Lawyers(s): Richard Kyle Gavin
Respondent(s): Joseph Kirby, Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Cindy L. Anderson, Michael D. Walsh, Angelo J. Infantino
Hearing Site: Jacksonville, FL
| | $44,681 |
| 13-00875 | 09/11/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): James Haugen
Respondent Lawyers(s): James Haugen
Arbitrator(s): Benjamin L. Abramowitz
Hearing Site: Jacksonville, FL
| | |
| 12-02060 | 08/26/2013 | Claimant(s): Craig Hulet
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Thomas F. Shine, Stuart S. Billington, Anne H. Orr
Hearing Site: Jacksonville, FL
| | |
| 13-00143 | 08/22/2013 | Claimant(s): SII Investments.
Claimant Lawyers(s): Carlos E. Mustelier
Respondent(s): Gerald Plachta
Respondent Lawyers(s): Gerald Jeffry Plachta
Arbitrator(s): Stuart K. Furman
Hearing Site: Jacksonville, FL
| | |
| 12-01872 | 07/05/2013 | Claimant(s): Michael Usina
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Stuart K. Furman
Hearing Site: Jacksonville, FL
| | Expungement |
| 12-00108 | 04/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): William Braude
Respondent Lawyers(s): William Lincoln Braude
Arbitrator(s): Jack A. Helms
Hearing Site: Jacksonville, FL
| | |
| 12-00346 | 02/13/2013 | Claimant(s): Daisha LaMontague as Tr. to Elenor Nagel
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Cindy L. Anderson, Pamela Jeanne Rush, Robert Finder
Hearing Site: Jacksonville, FL
| | $0 |
