| 13-00857 | 03/19/2014 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): Wendy L. Schueller
Respondent(s): Dennis Michels
Respondent Lawyers(s): Philip J. Snyderburn
Arbitrator(s): David P. Slater, Robert H. Nelson, Benjamin L. Abramowitz
Hearing Site: Orlando, FL
| | |
| 12-00929 | 01/17/2014 | Claimant(s): John Frei, John P. Frei Revocable Trust Dated 1/25/
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Gregory Levine, Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Marc T. Danon, Benjamin L. Abramowitz, Joseph John Mantione
Hearing Site: Orlando, FL
|  | Expungement |
| 12-02744 | 09/17/2013 | Claimant(s): Thomas McLaughlin
Claimant Lawyers(s): Kevin M. McLaughlin
Respondent(s): Morgan Stanley, Matthew Van Someren, Susan Kahn
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Benjamin L. Abramowitz, Raymond E. Cornelius, David Edwin Link
Hearing Site: Orlando, FL
| | Expungement |
| 10-04445 | 09/02/2011 | Claimant(s): Evanna Ondeck Cohen Rev Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): John R. Pepe, Benjamin L. Abramowitz, Harvey Alan Blicksilver
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
| 09-04236 | 07/28/2011 | Claimant(s): Donald L. Ames Trust U/A DTD 4/9/82, Mary R. Ames Trust U/A DTD 4/9/82
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Benjamin L. Abramowitz, David C. Matthews, Robert S. Anderson
Hearing Site: Orlando, FL
| | Expungement |
| 08-00117 | 01/21/2009 | Claimant(s): Daniel J. Day Living Trust, Diane D. Arnold Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert J. Walter, Benjamin L. Abramowitz, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | $0 |
