| 17-02443 | 06/05/2018 | Claimant(s): Columbus- Sierra, Peter Sierra Living Trust dtd 4/15/14
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Edith N. Dinneen, Thomas Joseph Atkinson, Ronald Charles Waters
Hearing Site: Orlando, FL
|  | Dismissed by Rule 12206 |
| 14-01998 | 11/20/2017 | Claimant(s): James Farrant
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Candida Bobonis Roig, Dario Ochoa, Franco Fullana, Santander Securities LLC
Respondent Lawyers(s): Matthew E. Wolper, Sara Lydia Velez-Santiago
Arbitrator(s): James W. Geiger, Marc T. Danon, Ronald Charles Waters
Hearing Site: San Juan, PR
| | Expungement |
| 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
| | |
| 15-02664 | 10/24/2016 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Frederick S. Schrils
Respondent(s): Kevin Farrow
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Robert Finder, Lane A. Fentriss, Ronald Charles Waters
Hearing Site: Orlando, FL
| | |
| 12-01330 | 07/01/2014 | Claimant(s): Audrie Perez-Llana Thomas, Benjamin Thomas, Edgar Thomas, Katrinka Powers, Phillip Thomas, Robert Boyatt, Theresa Hornsby, Bobby & Marcella Crawford, Danny & Betty Thomas, Donald & Virginia Headley, Phil & Karen Thomas, Edgar Thomas and Kathleen Thomas Trust, Gordon E. Thomas Revocable Trust, Irma M. Thomas Revocable Trust, Pauline Webb Revocable Trust
Claimant Lawyers(s): Mark David Hunter, Scott L. Silver
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Mauricio Arcadier, Ronald Charles Waters, Rose Erika Kennedy
Hearing Site: Orlando, FL
| | Expungement |
