| 11-00618 | 11/28/2012 | Claimant(s): Denise Rotolante
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Benjamin Buchanan, Southwest Securities., Mark Grant, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Gary Irwin, Julie Wilson Portera
Arbitrator(s): John P. Cullem, Larry G. Kjosa, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
|  | $49,375 |
| 11-00208 | 02/28/2012 | Claimant(s): Donna Keppen, Steven Keppen, Donna Keppen Trust, Steven Keppen Trust
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): William H. Steinbrenner, V. Michael Pabalis, Susanne J. Hollander
Hearing Site: Orlando, FL
| | $0 |
| 10-03083 | 10/11/2011 | Claimant(s): Joan Schultz
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Daniel Deighan, Boogie Investment Group., Deighan Financial Advisors.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Harvey Alan Blicksilver, Floyd Edward Roberts, Irwin Baron
Hearing Site: Orlando, FL
| | $179,514 |
| 09-04380 | 12/02/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Paul Fischetti
Respondent Lawyers(s): Allan P. Whitehead
Arbitrator(s): Paul Lilling, Gary F. Lang, Stuart S. Billington
Hearing Site: Orlando, FL
| | |
| 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 |
| 07-03290 | 11/04/2008 | Claimant(s): Patricia Gorski
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Brian D. Elias
Arbitrator(s): Robert N. Duggan, Mitchel Weiss, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | $0 |
