| 21-02993 | 03/13/2023 | Claimant(s): Sheila Gambrel, The Jean O. King Trust
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard S. Zaifert, Gary E. Marcus, Carolyn E. Moore
Hearing Site: Tampa, FL
|  | $0 |
| 20-02468 | 05/06/2022 | Claimant(s): Janice Compton
Claimant Lawyers(s): Niel Prosser
Respondent(s): Thomas Buck
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Ian S. Greig, Mollie Wagner Neal, Gary E. Marcus
Hearing Site: Memphis, TN
| | $5,216,020 |
| 20-03859 | 02/11/2022 | Claimant(s): Charles Brown, Charles Brown Declaration of Trust
Claimant Lawyers(s): Nate Fata
Respondent(s): Andrew Gordon, Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Joe E. Manuel, Kenneth R. Starr, Gary E. Marcus
Hearing Site: Columbia, SC
| | $273,088 |
| 20-02899 | 05/10/2021 | Claimant(s): Byron Studdard
Claimant Lawyers(s): Brian Luther
Respondent(s): American Portfolios Financial Srvs., Ameriprise Financial Services
Respondent Lawyers(s): Craig Vollono, Howard Klausmeier
Arbitrator(s): Gary E. Marcus
Hearing Site: Tampa, FL
| | |
| 20-00014 | 12/22/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Jason Zabawa
Respondent Lawyers(s): Jason M. Zabawa
Arbitrator(s): Gary E. Marcus
Hearing Site: Tampa, FL
| | |
| 20-00771 | 09/18/2020 | Claimant(s): Noel Swain
Claimant Lawyers(s): Brian Luther
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Gary E. Marcus
Hearing Site: Columbia, SC
| | |
| 17-02200 | 02/07/2019 | Claimant(s): Joel Christie, Kusum Christie
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry Giurato
Arbitrator(s): Gary E. Marcus, John Alan Hawke, David Schwartzberg
Hearing Site: Tampa, FL
| | Expungement |
| 15-01814 | 12/29/2016 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn Diamond Shaw
Respondent(s): Adam Mayfield
Respondent Lawyers(s): Adam Mayfield
Arbitrator(s): Muriel Desloovere, Patricia Gunn, Gary E. Marcus
Hearing Site: Tampa, FL
| | |
| 15-01664 | 07/18/2016 | Claimant(s): Tommy Ayala-Rivera
Claimant Lawyers(s): Tommy Ayala-Rivera
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Gregory D. Hoffmann, Donald N. Malawsky, Gary E. Marcus
Hearing Site: Tampa, FL
| | |
| 13-03203 | 12/29/2014 | Claimant(s): Patricia Dennis
Claimant Lawyers(s): Jason P. Ramos
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Edith N. Dinneen, Augusto V. Perrotta, Gary E. Marcus
Hearing Site: Tampa, FL
| | $0 |
