| 13-02712 | 09/17/2014 | Claimant(s): Cynthia Capozzoli, Frank Capozzoli
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Robert R. Warchola
Arbitrator(s): Edith N. Dinneen
Hearing Site: Orlando, FL
|  | $88,394 |
| 13-01243 | 07/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Edith N. Dinneen, Karl A. Vogeler, Erin Kathleen Linehan
Hearing Site: Tampa, FL
| | |
| 14-00110 | 06/02/2014 | Claimant(s): AXA Advisors, AXA Network, L.L.C
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Michael Grattan
Respondent Lawyers(s): Michael Ziegler
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
| | |
| 12-03284 | 04/15/2014 | Claimant(s): Christa Collins, Justus Essman
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): LPL Financial LLC, UVEST Financial Services Group.
Respondent Lawyers(s): Peter W. Howell, Sara B. Davis
Arbitrator(s): Brian G. Mooney, Edith N. Dinneen
Hearing Site: Tampa, FL
| | Expungement |
| 11-02369 | 07/12/2013 | Claimant(s): Paula Dumas
Claimant Lawyers(s): Joel Ewusiak
Respondent(s): Gordon Jones, Donald L. Hagan d/b/a Day Hagan
Respondent Lawyers(s): Andrew Clayton
Arbitrator(s): Edith N. Dinneen, Darryl C. Wilson, Keith M. Crouse
Hearing Site: Tampa, FL
| | |
| 11-03693 | 04/09/2013 | Claimant(s): Christine Erickson, William Erickson
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Ameriprise Financial Services., Lance Becatti
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Edith N. Dinneen, Deborah J. Powell, Andrea Bailey
Hearing Site: Tampa, FL
| | $0 |
| 11-03486 | 10/25/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Kenneth Klespies
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Ronald H. Walton, Edith N. Dinneen, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | |
| 11-03503 | 08/21/2012 | Claimant(s): Joe Forrest
Claimant Lawyers(s): Ronald W. Chapman
Respondent(s): Paul Arnold
Respondent Lawyers(s): Paul Arnold
Arbitrator(s): Bernard S. Carrey, Edith N. Dinneen, Diana A. Weiner
Hearing Site: Tampa, FL
| | $986,135 |
| 09-06545 | 02/10/2011 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Gregory Roper
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Edith N. Dinneen, George E. Bouse, Noel K. Evans
Hearing Site: Tampa, FL
| | |
| 08-00500 | 01/28/2011 | Claimant(s): Marcia Sternlieb
Claimant Lawyers(s): Brian H. Reis
Respondent(s): Jason Woessner, Stanley Brooks, Brookstreet Securities Corp.
Respondent Lawyers(s): H Thomas Fehn, Jason Woessner
Arbitrator(s): John Steve Azadian, Muriel Desloovere, Edith N. Dinneen
Hearing Site: Clearwater, FL
| | $1,150 |
