| 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 |
| 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 |
| 09-01736 | 09/24/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): David Berman
Respondent Lawyers(s): David T. Berman
Arbitrator(s): Marcy R. Greer
Hearing Site: Clearwater, FL
| | |
| 09-02444 | 04/29/2010 | Claimant(s): Jamie Hines
Claimant Lawyers(s): Robert Persante
Respondent(s): Ronald Giovino, GWN Securities Inc., Tax Shelter America.
Respondent Lawyers(s): Bruce W. Barnes, Jonathan B. Butler
Arbitrator(s): Richard J. Fuller, Arthur L. Tepper, William H. McCullough
Hearing Site: Clearwater, FL
| | |
| 09-05363 | 03/03/2010 | Claimant(s): Valerie Doherty
Claimant Lawyers(s): Valerie Doherty
Respondent(s): Jeffrey Gromos, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Norman L. Weiss
Hearing Site: Clearwater, FL
| | $425 |
| 08-04360 | 02/10/2010 | Claimant(s): Kenneith Rose
Claimant Lawyers(s): Kenneith Vernon Rose
Respondent(s): Neal Smalbach, GunnAllen Financial
Respondent Lawyers(s): Neal S. Smalbach, William J. Schifino
Arbitrator(s): Arthur L. Tepper, Duncan H. Cameron
Hearing Site: Clearwater, FL
| | $0 |
| 08-02618 | 12/23/2009 | Claimant(s): Nathan Marcadis, Nathan Marcadis Rev Living Trust
Claimant Lawyers(s): Patrick A. Davis
Respondent(s): Citigroup Global Markets., Larry Cuervo
Respondent Lawyers(s): Tucker H. Byrd
Arbitrator(s): Brendan M. Murphy, Arnold Levine, Pamela S. Townsend
Hearing Site: Clearwater, FL
| | $0 |
| 09-03308 | 11/25/2009 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Kristina Goldfield
Respondent Lawyers(s): Kristina Goldfield
Arbitrator(s): Richard R. Logsdon
Hearing Site: Clearwater, FL
| | |
| 08-04147 | 11/12/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Michael Fels
Respondent Lawyers(s): Michael Fels
Arbitrator(s): John R Kiefner, Paul L. Matecki, Karen Fancher
Hearing Site: Clearwater, FL
| | |
| 08-02988 | 10/02/2009 | Claimant(s): Shirley Jeup, Shirley A. Jeup IRA
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Scott Spencer, Spencer International Advisors.
Respondent Lawyers(s): Jeffrey W. Gibson
Arbitrator(s): Norman L. Reiter, Michael D. Hamilton, Papan Devnani
Hearing Site: Clearwater, FL
| | $205,780 |
