| 19-02055 | 12/03/2021 | Claimant(s): Cita Trust Company AG
Claimant Lawyers(s): Stephanie Martin
Respondent(s): Ann Allen, Fifth Third Securities.
Respondent Lawyers(s): Joseph N. Tucker, Samuel Gilley
Arbitrator(s): Richard S. Zaifert, Joel F. Martineau, Thomas Roe Oldt
Hearing Site: Tampa, FL
|  | $0 |
| 19-03791 | 07/15/2020 | Claimant(s): David Cohen
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Stuart K. Furman, Martin M. Van Luven, Thomas Roe Oldt
Hearing Site: Orlando, FL
| | |
| 15-01280 | 03/09/2017 | Claimant(s): Michael Montalvo
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Mark R. Topper, Thomas Roe Oldt, Ronald Charles Waters
Hearing Site: Orlando, FL
| | |
| 15-01956 | 08/19/2016 | Claimant(s): David George
Claimant Lawyers(s): Robert Savage
Respondent(s): Eagle Asset Management. CRD 110653, Eagle Fund Distributors.
Respondent Lawyers(s): Tammie L. Rattray
Arbitrator(s): Langfred W. White, Thomas Roe Oldt, Rochelle Friedman Walk
Hearing Site: Tampa, FL
| | |
| 12-00595 | 12/20/2013 | Claimant(s): Regal Marine Industries.
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis
Arbitrator(s): John P. Cullem, Thomas Roe Oldt, Alan E. Linden
Hearing Site: Orlando, FL
| | Expungement |
| 09-00111 | 08/10/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Stephanie McLaughlin
Respondent(s): Mark Hoffman
Respondent Lawyers(s): David C. Reeves
Arbitrator(s): Patricia Gunn, Thomas Roe Oldt, Lauren S. Puritz
Hearing Site: Orlando, FL
| | |
| 10-00594 | 04/27/2011 | Claimant(s): James C. Edington IRA, James C. Edington Trust
Claimant Lawyers(s): Brian G. Mooney
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher Gawley
Arbitrator(s): Paul Sidney Elliott, JD, Thomas Roe Oldt, Lauren S. Puritz
Hearing Site: Orlando, FL
| | Expungement |
| 07-02251 | 02/13/2009 | Claimant(s): Charles D. Stubbs & Jacqueline Stubbs, Stephen D. Stubbs & Robin L. Stubbs
Claimant Lawyers(s): Thomas J. Fraser
Respondent(s): John Means, Matthew Wilson
Respondent Lawyers(s): Dennis Dice, Matthew Wilson
Arbitrator(s): Stan West, Helen G. Bradley, Thomas Roe Oldt
Hearing Site: Orlando, FL
| | $857,200 |
| 05-04256 | 02/14/2008 | Claimant(s): Jose Rivera
Claimant Lawyers(s): Darren C. Blum
Respondent(s): John Elwin, Nicholas Natale, Granite Associates.
Respondent Lawyers(s): John D. Elwin, Nicholas A. Natale
Arbitrator(s): David P. Slater, Richard W. Thornburg, Thomas Roe Oldt
Hearing Site: Orlando, FL
| | $676,000 |
