| 13-00185 | 07/26/2013 | Claimant(s): Nancy Bold
Claimant Lawyers(s): William B. Young
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
|  | Expungement |
| 11-01714 | 06/13/2013 | Claimant(s): Ralph Sergott
Claimant Lawyers(s): Jahan Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Ronald W. Devoe, Thomas Joseph Atkinson, Stephen A. Saker
Hearing Site: Orlando, FL
| | Expungement |
| 11-04384 | 03/26/2013 | Claimant(s): Richard Gallagher
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): TD Ameritrade., Jerry Clark
Respondent Lawyers(s): James J. Vihstadt, Jerry Eaton Clark
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $580,000 |
| 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 |
| 12-00065 | 10/10/2012 | Claimant(s): Arthur W. Curtis, Jr. Trust, Cynthia S. Curtis Trust
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas Joseph Atkinson, Daniel P. Lund, Robert M. Bath
Hearing Site: Orlando, FL
| | Expungement |
| 07-00666 | 04/02/2012 | Claimant(s): Alan Grayson, AMG Trust
Claimant Lawyers(s): Eric M. Rolinson, Tucker H. Byrd
Respondent(s): Wachovia Securities
Respondent Lawyers(s): David A. Picon
Arbitrator(s): Richard K. Wilson, Gary F. Lang, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $852,000 |
| 11-00388 | 03/02/2012 | Claimant(s): Mary Carkeet
Claimant Lawyers(s): K. Michael Swann
Respondent(s): International Assets Advisory, Llc
Respondent Lawyers(s): Kevin A. Carreno
Arbitrator(s): David M. Levine, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $0 |
| 09-01833 | 01/20/2011 | Claimant(s): Susan Green, William Green
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mary Beth Hogan
Arbitrator(s): Ron Pekoe, Peter F. Crowell, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $600 |
| 09-05025 | 09/20/2010 | Claimant(s): Rita Brown
Claimant Lawyers(s): David H. Simmons
Respondent(s): Banc of America Investment Services Inc., Scott Krause
Respondent Lawyers(s): Barton Wayne Cox
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $56,512 |
| 09-02380 | 06/15/2010 | Claimant(s): Joel Rappoport
Claimant Lawyers(s): Charles Stambaugh
Respondent(s): Banc of America Investment Services Inc., Tim Monahan
Respondent Lawyers(s): Lindsy Nicole Alleman
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | Expungement |
