| 15-00675 | 01/29/2019 | Claimant(s): Luis Colon Martinez
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): William H. Fleece, A.J. Seier, Joseph A Newcomb
Hearing Site: San Juan, PR
|  | Expungement |
| 16-03306 | 11/14/2017 | Claimant(s): Jules Gerding, Karen Gerding
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): William H. Fleece, Kenneth R. Starr, Brian Michael Kane
Hearing Site: Jacksonville, FL
| | Expungement |
| 15-03111 | 05/17/2017 | Claimant(s): Margaret White
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wall Street Strategies.
Respondent Lawyers(s): Anthony McGeorge
Arbitrator(s): William H. Fleece, John A. Torraco, Joanna Salapska-Gelleri
Hearing Site: Tampa, FL
| | $138,857 |
| 14-00886 | 10/09/2015 | Claimant(s): Carmen Buono Colon
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Popular Securities, Santander Securities LLC
Respondent Lawyers(s): Nathan W. Lamb, Sara L. Velez-Santiago
Arbitrator(s): James W. Geiger, William H. Fleece, Robert Jerry Strader
Hearing Site: San Juan, PR
| | Expungement |
| 14-02160 | 03/23/2015 | Claimant(s): Leonard Miller
Claimant Lawyers(s): Robert E. Norton
Respondent(s): Metlife Securities Inc., Metropolitan Life Insurance Company
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): William H. Fleece
Hearing Site: Tampa, FL
| | $45,129 |
| 13-00293 | 11/26/2014 | Claimant(s): Fredrick Griffin
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): William S. Glickfield, William H. Fleece, Arthur J. Zelenak
Hearing Site: Tampa, FL
| | $306,132 |
| 11-02615 | 04/10/2014 | Claimant(s): Richard Fusari
Claimant Lawyers(s): Richard Fusari
Respondent(s): Advanced Equities., First Allied Securities.
Respondent Lawyers(s): Peter B. King, Robert Cross
Arbitrator(s): William H. Fleece, Deborah J. Powell, Maurice M. Feller
Hearing Site: Tampa, FL
| | |
| 13-00599 | 02/18/2014 | Claimant(s): Jeff Hogan IRA
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Thinkorswim
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): William H. Fleece, Maurice M. Feller, Teresa Joan Rooney
Hearing Site: Tampa, FL
| | $14,852 |
| 11-00106 | 01/13/2012 | Claimant(s): PCF LLC, TGV LLC
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): William Kring, Triad Advisors.
Respondent Lawyers(s): J. Steven Parker
Arbitrator(s): Arthur DeStefano, William H. Fleece, John T. Luce
Hearing Site: Tampa, FL
| | Dismissed by Rule 12504 |
| 10-04454 | 06/09/2011 | Claimant(s): Edward Murray
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): William H. Fleece
Hearing Site: Clearwater, FL
| | $25,425 |
