| 10-04904 | 10/21/2011 | Claimant(s): Caleb L. Batten Trust
Claimant Lawyers(s): Andre R Perron
Respondent(s): Wells Fargo Advisors, Mitchell Halperin
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): John P. Cullem, Patricia Gunn, Henry A. Tenenbaum
Hearing Site: Tampa, FL
|  | $110,271 |
| 09-04530 | 03/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Shane Wheeler
Respondent Lawyers(s): Shane Wheeler
Arbitrator(s): John P. Cullem, Thomas R. Carlsen, Michael S. Hill
Hearing Site: Tampa, FL
| | |
| 09-05535 | 02/22/2011 | Claimant(s): Maria Thornton
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John P. Cullem, Constance d'Angelis, Howard L. Hill
Hearing Site: Tampa, FL
| | $25,200 |
| 10-01682 | 12/07/2010 | Claimant(s): Allan Lyons, Lyons & Associates
Claimant Lawyers(s): Allan A. Lyons, Allan S. Lyons
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith Faro
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | $775 |
| 09-01323 | 06/01/2010 | Claimant(s): Robert Craig, Robert H. Craig Rev Living Trust
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): William Gordon, Investors Capital Corporation
Respondent Lawyers(s): James A, McGovern
Arbitrator(s): John P. Cullem, David M. Snyder, George E. Bouse
Hearing Site: Tampa, FL
| | $150,266 |
| 08-03947 | 03/10/2010 | Claimant(s): Sturla Terry Canale Living Trust
Claimant Lawyers(s): Jan Douglas Atlas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): John P. Cullem, Howard L. Hill, Donald R. Smith
Hearing Site: Tampa, FL
| | $50,000 |
| 07-03116 | 12/05/2008 | Claimant(s): Janice Owen
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Summit Brokerage Services.
Respondent Lawyers(s): Francis M. Curran
Arbitrator(s): John P. Cullem, Oscar W. Carlson, David M. Snyder
Hearing Site: Clearwater, FL
| | $34,632 |
| 07-01446 | 05/21/2008 | Claimant(s): Susan Greco, IRA
Claimant Lawyers(s): C. Richard Mancini
Respondent(s): Kovack Securities.
Respondent Lawyers(s): Scott A. Bassman
Arbitrator(s): John P. Cullem, Langfred W. White, Arthur J. Zelenak
Hearing Site: Tampa, FL
| | $91,815 |
| 06-03270 | 03/10/2008 | Claimant(s): Russell Dewing
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): John P. Cullem, Beverly S. Gordon, Robert Stephen Burns
Hearing Site: Tampa, FL
| | $75,000 |
| 06-00654 | 08/23/2007 | Claimant(s): Steven Heller
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Intersecurities.
Respondent Lawyers(s): Katherine C. Lake
Arbitrator(s): John P. Cullem, Patrick D. King, Gail E. Sasnett-Stauffer
Hearing Site: Tampa, FL
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