14-02939 | 05/09/2018 | Claimant(s): International Assets Advisory Claimant Lawyers(s): Tracy L. Gerber Respondent(s): Edward Cofrancesco, Mauricio Cardenas, Michael Montalvo Respondent Lawyers(s): Curtis Carlson, Tracy L. Gerber Arbitrator(s): Stuart K. Furman, Avery B. Goodman, Clarence B. Johnson, CLU, ChFC Hearing Site: Orlando, FL
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15-01279 | 03/27/2017 | Claimant(s): Mauricio Cardenas Claimant Lawyers(s): Chase Carlson Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Steven A. Siegel Arbitrator(s): Richard J. Fuller, Clarence B. Johnson, CLU, ChFC, Sammia Pratt Hearing Site: Orlando, FL
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15-00660 | 08/30/2016 | Claimant(s): Casey Sutton Claimant Lawyers(s): Robert A. Bracken Respondent(s): Pruco Securities. Respondent Lawyers(s): Lorie E. Almon Arbitrator(s): Stephen P. Hoffman, Michael C. Wittenberg, CPF, CLU, ChFC, Lisa Bass Morris Hearing Site: Charlotte, NC
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13-02557 | 03/06/2015 | Claimant(s): Shari Hanson Claimant Lawyers(s): Donald M. Brown Respondent(s): Stephen Englese, Equity Services. Respondent Lawyers(s): Derek C. Anderson, Stephen Anthony Englese Arbitrator(s): John A. Baynes, Michael C. Wittenberg, CPF, CLU, ChFC, John Russell Barlow Hearing Site: Charlotte, NC
| | $0 |
11-02090 | 08/02/2012 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Timothy N. Will Respondent(s): James Turner Respondent Lawyers(s): James Turner Arbitrator(s): Deborah C. Bernot, Stephanie P. Lebhar, Robert Miller Lawder, CLU Hearing Site: Phoenix, AZ
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10-01086 | 03/12/2012 | Claimant(s): Debus Kazan & Westerhausen, DB Plan Claimant Lawyers(s): Jon A. Titus Respondent(s): Lana Hock, Leah Hoffman, Robert W. Baird & Co. Incorporated Respondent Lawyers(s): Edwin F. Barkel Arbitrator(s): Joe S. Tarrer, Robert Miller Lawder, CLU, John H. Fearnow Hearing Site: Phoenix, AZ
| | Expungement |
10-03040 | 07/21/2011 | Claimant(s): Ronald Brown Claimant Lawyers(s): Christopher M. Whelchel Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): John G. McDonald Arbitrator(s): Stephen P. Hoffman, Michael C. Wittenberg, CPF, CLU, ChFC, Margaret Elizabeth Gee Hearing Site: Charlotte, NC
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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 |
07-03290 | 11/04/2008 | Claimant(s): Patricia Gorski Claimant Lawyers(s): Allan P. Whitehead Respondent(s): Prudential Equity Group Respondent Lawyers(s): Brian D. Elias Arbitrator(s): Robert N. Duggan, Mitchel Weiss, Clarence B. Johnson, CLU, ChFC Hearing Site: Orlando, FL
| | $0 |
05-05660 | 02/19/2008 | Claimant(s): AIG Financial Advisors. Claimant Lawyers(s): Abby Henig Respondent(s): Allen Darby Respondent Lawyers(s): John F. Hanzel Arbitrator(s): David P. McDuffee, John D. Robb, Michael C. Wittenberg, CPF, CLU, ChFC Hearing Site: Charlotte, NC
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