| 19-00027 | 07/15/2020 | Claimant(s): Charlotte A. Pressley Revocable Trust
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Evan Shear, Raymond James Financial Services., Walter Crossley
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): Anne H. Orr, Richard Merritt Langway, Thomas Tukdarian
Hearing Site: Orlando, FL
|  | $0 |
| 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 |
| 11-04458 | 11/08/2012 | Claimant(s): Gerald Hummel, Ila Hummel, Hummel Family Trust dtd 8/8/01
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Kay Johnson
Arbitrator(s): Edmund Herbert Hecht
Hearing Site: Orlando, FL
| | $75,000 |
| 09-07216 | 06/27/2012 | Claimant(s): Dianne Atkins, James Atkins
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Constance d'Angelis
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-00863 | 06/22/2012 | Claimant(s): John A. Boccio and Barbara Boccio
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krouse
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL
| | Stipulated Award |
| 10-00309 | 06/11/2012 | Claimant(s): Theresa Lillis, Theresa F. Lillis Living Trust
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-00711 | 06/07/2012 | Claimant(s): Robert Fox
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-00862 | 05/25/2012 | Claimant(s): Nicholas D'Angelo and Josephine D'Angelo
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Diana A. Weiner
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-01274 | 05/25/2012 | Claimant(s): Hector Sanchez and Lourdes M. Sanchez
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Muriel Desloovere, Thomas F. Icard, Leslie Reese Murtagh
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-00312 | 05/23/2012 | Claimant(s): Frances Minneci, Philip Minneci
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): H. Steven Holtzman
Hearing Site: Tampa, FL
| | Stipulated Award |
