| 18-03791 | 10/03/2019 | Claimant(s): Janet Heath, Jerry Heath, Joseph Taborek, Sandra Gizzi, James N. Heald
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): James Heafner, Taylor Capital Management Inc.
Respondent Lawyers(s): James Hal Heafner, Preston Spears
Arbitrator(s): Joe E. Manuel, David F. Simon, Daniel Lee Tedrick
Hearing Site: Charlotte, NC
|  | $1,033,360 |
| 17-01205 | 10/30/2018 | Claimant(s): Robert Cline
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James A. Hayes, Harry G. Mason, David F. Simon
Hearing Site: Charlotte, NC
| | $127,925 |
| 17-01015 | 03/08/2018 | Claimant(s): AllianceBernstein L.P.
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Robert Ziegler
Respondent Lawyers(s): Louis M. Lagalante
Arbitrator(s): David F. Simon
Hearing Site: Charlotte, NC
| | |
| 16-00220 | 03/07/2017 | Claimant(s): Deborah Pfeiffer, Virginia M. Pizzi Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Martorana
Arbitrator(s): David F. Simon, Millicent B. Athanason, Brian Patrick Quinn
Hearing Site: Tampa, FL
| | Expungement |
| 13-00549 | 03/21/2016 | Claimant(s): Crystal Diamond., Interphase., Roy M. Speer Fndn U/T/A dtd 12/16/86, Estate of Roy M. Speer, Roy M. Speer Rev. Trst U/T/A dtd 5/11/06
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): Ami Forte, Morgan Stanley, Terry McCoy
Respondent Lawyers(s): Colleen M. Fitzgerald, Jason M. Fedo
Arbitrator(s): Russell W. Merriman, Henry A. Tenenbaum, David F. Simon
Hearing Site: Tampa, FL
| | $34,387,800 |
| 12-00803 | 04/15/2013 | Claimant(s): Myrna Kanter, The Myron A. Kanter Insurance Trust II
Claimant Lawyers(s): George L. Guerra
Respondent(s): Christopher Goslin, Jordan Kanter
Respondent Lawyers(s): Alan M. Wolper, George L. Guerra
Arbitrator(s): William F. Glaser, David F. Simon, Michael S. Kozlow
Hearing Site: Tampa, FL
| | $0 |
| 09-05793 | 10/05/2011 | Claimant(s): Carl Cosio
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Rafael Calleja
Respondent Lawyers(s): Alise Johnson, Frederick S. Schrils, Neil S. Baritz
Arbitrator(s): Muriel Desloovere, William R. Turner, David F. Simon
Hearing Site: Tampa, FL
| | $248,874 |
| 08-04274 | 04/19/2010 | Claimant(s): Joshua Lowe
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): D. Daxton White
Arbitrator(s): Horace A. Andrews, David F. Simon, Dennis R. Sullivan
Hearing Site: Tampa, FL
| | |
| 07-02973 | 08/27/2009 | Claimant(s): Kathleen Ternes, Marshall Glass, Richard Barnes, Keith and Rebecca Clower, Larry and Ellen Sagal
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Marco Caporale, Kovack Securities.
Respondent Lawyers(s): George L. Guerra, Marco Allessandro Caporale
Arbitrator(s): Samuel J. Henderson, Sharon Lee Chernin, David F. Simon
Hearing Site: Tampa, FL
| | $530,000 |
