16-01301 | 12/27/2016 | Claimant(s): James Stewart, James C. Stewart IRA, F. Stewart Rev Liv Trust U/A/D/ 01/23/91, James C. Stewart Trust U/A/D/ 09/22/86 Claimant Lawyers(s): D. Daxton White Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Matthew E. Wolper Arbitrator(s): Muriel Desloovere, Jacquelyn M. Shannon, Joseph John Mantione Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
15-01423 | 09/30/2016 | Claimant(s): SunTrust Investment Services. Claimant Lawyers(s): Caryn D. Shaw Respondent(s): William Van Ormer Respondent Lawyers(s): William A. Van Ormer Arbitrator(s): Jacquelyn M. Shannon Hearing Site: Jacksonville, FL
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15-01041 | 05/25/2016 | Claimant(s): Martin Brewer, Richard Weber Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Legend Securities. Respondent Lawyers(s): Lawrence R. Gelber Arbitrator(s): Nicholas John Taldone, Diana A. Weiner, Jacquelyn M. Shannon Hearing Site: Tampa, FL
| | $161,030 |
13-03509 | 08/12/2015 | Claimant(s): Ruben Gardner Claimant Lawyers(s): Philip J. Snyderburn Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Diana A. Weiner, Jacquelyn M. Shannon, Eric Zimmer Hearing Site: Tampa, FL
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13-02050 | 12/17/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Gregory S. Tendrich Respondent(s): Eric Dishner Respondent Lawyers(s): Eric Martin Dishner Arbitrator(s): Jacquelyn M. Shannon Hearing Site: Tampa, FL
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13-00842 | 10/04/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Beverly Jo Slaughter Respondent(s): Joseph Carpenter Respondent Lawyers(s): Joseph Anthony Carpenter Arbitrator(s): Jacquelyn M. Shannon Hearing Site: Tampa, FL
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12-03830 | 07/26/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Alex Komoroski Respondent(s): Rudi Buetterich Respondent Lawyers(s): Rudi Orlando Buetterich Arbitrator(s): Jacquelyn M. Shannon Hearing Site: Wilmington, DE
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11-04756 | 04/23/2013 | Claimant(s): Gerald Peragine Claimant Lawyers(s): Jim Moyles Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Peter Byer Arbitrator(s): Joseph F. Pittelli, Caryl S. Bernstein, Jacquelyn M. Shannon Hearing Site: Wilmington, DE
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11-03107 | 05/02/2012 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Gregory S Tendrich Respondent(s): Kenneth Solis Respondent Lawyers(s): Scott Silver Arbitrator(s): Jacquelyn M. Shannon Hearing Site: Tampa, FL
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10-03084 | 11/11/2011 | Claimant(s): Carolyn Smith, John Smith, Sr. (Annuity), Carolyn K. Smith IRA, John Edward Smith, Sr. IRA Claimant Lawyers(s): Eric E. Ludin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Robert K. Jamieson Arbitrator(s): Alison Hardage, Muriel Desloovere, Jacquelyn M. Shannon Hearing Site: Tampa, FL
| | $55,861 |