| 17-00665 | 02/15/2018 | Claimant(s): Jane Hoffman
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors, Ronald Guertin
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
|  | Expungement |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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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