| 14-02244 | 04/21/2015 | Claimant(s): Todd Hoffman
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Rebecca J. Nelson
Arbitrator(s): Jerrold E. Slutzky, Richard S. Zaifert, Martin M. Van Luven
Hearing Site: Tampa, FL
| | |
| 14-02283 | 04/10/2015 | Claimant(s): Bart Burris, Bret Burris, Brian Burris, Leslie Rode, Thomas Harshman, Estate of Janet Burris
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Ameriprise Financial Services., IDS Life Insurance Company
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard S. Zaifert, Lawrence Gray Sanders, Byron Sheldon Arbeit
Hearing Site: Tampa, FL
|  | Expungement |
| 14-01787 | 03/06/2015 | Claimant(s): Marc Wolff
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Carmen Brun
Arbitrator(s): Richard S. Zaifert, Gayle B. Carlson, Sandra Dyne Sapp
Hearing Site: Tampa, FL
| | |
| 12-02804 | 03/02/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holding
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard S. Zaifert, Barbara H. Reed, Peter A. Portley
Hearing Site: Boca Raton, FL
| | |
| 12-03797 | 02/02/2015 | Claimant(s): Marcos Bowers
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb, Jr.
Arbitrator(s): Richard S. Zaifert, John C. Holmes, Michael S. Kozlow
Hearing Site: Miami, FL
| | |
| 14-00823 | 01/14/2015 | Claimant(s): Amilkar Capo
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | $0 |
| 13-02288 | 12/22/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Gaetan Gagne
Respondent Lawyers(s): Julie Elizabeth Hough
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
| | |
| 12-04160 | 08/01/2014 | Claimant(s): George Johns
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): FMSBONDS.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Richard S. Zaifert, Elena G. Rodriguez, Joel K. Gustafson
Hearing Site: Ft. Lauderdale, FL
| | Stipulated Award |
| 13-02534 | 03/11/2014 | Claimant(s): William Spalding
Claimant Lawyers(s): Stephen E. Hudson
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Daniel H. Yaffe, Richard S. Zaifert, Laura A. Ledford
Hearing Site: Atlanta, GA
| | |
| 11-04043 | 11/07/2013 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Edwin A. Zipf
Respondent(s): CRL Management
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Michael Lau, Richard S. Zaifert, Guillermo A. Gleizer
Hearing Site: Miami, FL
| | $0 |
