| 16-00502 | 11/22/2017 | Claimant(s): B.R. Russell As Cust. for B.& T. Johnson, B&V Russell Rev Liv Trust DTD 12/2/96
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Lauren S. Puritz, Theodore Haynes, Robert G. Bannon
Hearing Site: Orlando, FL
|  | Expungement |
| 16-02217 | 11/07/2017 | Claimant(s): Benjamin Butera
Claimant Lawyers(s): David P. Meyer
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Stuart K. Furman, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | Expungement |
| 14-02502 | 12/17/2015 | Claimant(s): Michael Cordova
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Ian S. Greig, Lauren S. Puritz, Robert Wallace Rasch
Hearing Site: Orlando, FL
| | Expungement |
| 11-01845 | 05/01/2012 | Claimant(s): James Johnson
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Todd Bauerle, Bauerle Financial.
Respondent Lawyers(s): Jeffrey B. Kelvin, Compliance Consultant, Kirk T. Bauer
Arbitrator(s): Stuart K. Furman, Joseph John Mantione, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $7,500 |
| 11-00388 | 03/02/2012 | Claimant(s): Mary Carkeet
Claimant Lawyers(s): K. Michael Swann
Respondent(s): International Assets Advisory, Llc
Respondent Lawyers(s): Kevin A. Carreno
Arbitrator(s): David M. Levine, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $0 |
| 09-00111 | 08/10/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Stephanie McLaughlin
Respondent(s): Mark Hoffman
Respondent Lawyers(s): David C. Reeves
Arbitrator(s): Patricia Gunn, Thomas Roe Oldt, Lauren S. Puritz
Hearing Site: Orlando, FL
| | |
| 10-00594 | 04/27/2011 | Claimant(s): James C. Edington IRA, James C. Edington Trust
Claimant Lawyers(s): Brian G. Mooney
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher Gawley
Arbitrator(s): Paul Sidney Elliott, JD, Thomas Roe Oldt, Lauren S. Puritz
Hearing Site: Orlando, FL
| | Expungement |
| 08-03005 | 05/06/2010 | Claimant(s): Central Florida Investments.
Claimant Lawyers(s): Richard W Epstein
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Stuart S. Billington, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $328,684 |
| 06-05145 | 11/16/2007 | Claimant(s): Catherine Henderson
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Suntrust Securities.
Respondent Lawyers(s): Richard H. Bergman
Arbitrator(s): V. Michael Pabalis, Michael D. Walsh, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $43,703 |
