| 17-01152 | 10/04/2018 | Claimant(s): Joan Gara
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Langfred W. White, Victoria G.A. Willingham, Brian Michael Kane
Hearing Site: Jacksonville, FL
|  | Expungement |
| 18-00923 | 09/17/2018 | Claimant(s): Michael Halloran
Claimant Lawyers(s): Michael P. Tomlinson
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Richard R. Logsdon
Hearing Site: Jacksonville, FL
| | |
| 17-03183 | 07/23/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Norman Day
Respondent Lawyers(s): Norman Shannon Day
Arbitrator(s): Mitchel Weiss
Hearing Site: Jacksonville, FL
| | |
| 18-00752 | 07/03/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): Richard Williamson
Respondent Lawyers(s): Richard Anthony Williamson
Arbitrator(s): Kenneth R. Starr
Hearing Site: Jacksonville, FL
| | |
| 18-00249 | 06/19/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Michael D Bressan
Respondent(s): Daniel Abel
Respondent Lawyers(s): Ronald Angerer
Arbitrator(s): Ken Ziesenheim, Cecelia Dianne Jefferson, Bryan Robert Rendzio
Hearing Site: Jacksonville, FL
| | |
| 18-00498 | 06/14/2018 | Claimant(s): Dale Spring
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Lon Faccini, Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb
Arbitrator(s): Richard R. Logsdon
Hearing Site: Jacksonville, FL
| | $0 |
| 16-01810 | 04/26/2018 | Claimant(s): HCM Consulting, The HCM Consulting. Pension Plan
Claimant Lawyers(s): Richard Kyle Gavin
Respondent(s): Wells Fargo Advisors, John Crockenberg, Mark Hoffman
Respondent Lawyers(s): Benjamin J. Biard, Beverly Jo Slaughter
Arbitrator(s): Muriel Desloovere, Marshal H. Emerson, David Henry Samson
Hearing Site: Jacksonville, FL
| | $76,257 |
| 16-01831 | 04/23/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): William Barker
Respondent Lawyers(s): Philip J. Snyderburn
Arbitrator(s): Kenneth J. Bennett, John Berryman, Amanda M. Cole
Hearing Site: Jacksonville, FL
| | |
| 17-02295 | 04/17/2018 | Claimant(s): Matthew Turner
Claimant Lawyers(s): Eric Litow
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Mitchel Weiss
Hearing Site: Jacksonville, FL
| | |
| 15-03156 | 04/16/2018 | Claimant(s): Mark Slaughter
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Philip J. Mackey
Arbitrator(s): Gregory D. Hoffmann, Kenneth R. Starr, Andrew Michael Bonderud
Hearing Site: Jacksonville, FL
| | $78,500 |
