| 21-02993 | 03/13/2023 | Claimant(s): Sheila Gambrel, The Jean O. King Trust
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard S. Zaifert, Gary E. Marcus, Carolyn E. Moore
Hearing Site: Tampa, FL
|  | $0 |
| 22-00708 | 10/12/2022 | Claimant(s): Travis Barnes
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
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| 20-02797 | 03/14/2022 | Claimant(s): Kenneth Hill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
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| 21-00195 | 12/15/2021 | Claimant(s): William Valenti
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
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| 19-02055 | 12/03/2021 | Claimant(s): Cita Trust Company AG
Claimant Lawyers(s): Stephanie Martin
Respondent(s): Ann Allen, Fifth Third Securities.
Respondent Lawyers(s): Joseph N. Tucker, Samuel Gilley
Arbitrator(s): Richard S. Zaifert, Joel F. Martineau, Thomas Roe Oldt
Hearing Site: Tampa, FL
| | $0 |
| 20-00946 | 08/23/2021 | Claimant(s): Martin Moore
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick Bradley
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
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| 20-03144 | 07/30/2021 | Claimant(s): Garyn Angel
Claimant Lawyers(s): Joshua A Katz
Respondent(s): Invest Financial Corporation, Transamerica Financial Advisors
Respondent Lawyers(s): Eric A. Michaels, Susan D. Duff
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
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| 20-02216 | 04/08/2021 | Claimant(s): Mark Dutram
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
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| 20-02561 | 04/01/2021 | Claimant(s): Bertin Stuckart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
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| 20-02187 | 03/24/2021 | Claimant(s): Donald Adkins
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
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