| 17-01401 | 11/07/2018 | Claimant(s): Margo Norman
Claimant Lawyers(s): Jonathan Stein
Respondent(s): Jack Woodward, Raymond, James & Associates.
Respondent Lawyers(s): Bertrand C. Moser, Gianluca Morello
Arbitrator(s): Jo-Marie Lisa, Lynn Hirschfeld Brahin
Hearing Site: Denver, CO
|  | Expungement |
| 10-03514 | 10/27/2011 | Claimant(s): James Welsh
Claimant Lawyers(s): John R. Kiefner
Respondent(s): TD Ameritrade., Bellevue Chicago
Respondent Lawyers(s): Brent T. Starks, Justin Garbaccio
Arbitrator(s): Langfred W. White, Gregory D. Hoffmann, Jonathan H. Stein
Hearing Site: Tampa, FL
| | $40,110 |
| 08-04035 | 01/22/2009 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Marc Miller, Morgan Keegan & Company.
Respondent Lawyers(s): George L. Guerra, Shea O'Brien Hicks
Arbitrator(s): Paul Sidney Elliott, JD, Pamela Jeanne Rush, Jonathan H. Stein
Hearing Site: Tampa, FL
| | |
| 08-00148 | 10/10/2008 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Douglas Studer
Respondent Lawyers(s): T. Gregory Slother
Arbitrator(s): Lon M. Hatton, Jonathan H. Stein, Robert Kevin O'Mara
Hearing Site: Tampa, FL
| | |
