| 18-00151 | 05/16/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): Wayne Babst
Respondent Lawyers(s): Wayne Stephen Babst
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
| | |
| 17-02285 | 05/15/2018 | Claimant(s): Frank Voli
Claimant Lawyers(s): Michael Bessette
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Muriel Desloovere
Hearing Site: Raleigh, NC
| | |
| 16-01810 | 04/26/2018 | Claimant(s): HCM Consulting, The HCM Consulting. Pension Plan
Claimant Lawyers(s): Richard Kyle Gavin
Respondent(s): Wells Fargo Advisors, John Crockenberg, Mark Hoffman
Respondent Lawyers(s): Benjamin J. Biard, Beverly Jo Slaughter
Arbitrator(s): Muriel Desloovere, Marshal H. Emerson, David Henry Samson
Hearing Site: Jacksonville, FL
|  | $76,257 |
| 17-00096 | 10/21/2017 | Claimant(s): Steven Gilbert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates., Prime Capital Services.
Respondent Lawyers(s): Amy Napolitano, Ronald W. Sannicandro
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
| | |
| 17-00624 | 10/02/2017 | Claimant(s): Geoffrey Frazier
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Kimberly A. Koves
Arbitrator(s): Muriel Desloovere, Erin Kathleen Linehan, Brian Patrick Quinn
Hearing Site: Tampa, FL
| | |
| 16-03207 | 09/08/2017 | Claimant(s): Michael Jenkins, Edward D. Jones & Co..
Claimant Lawyers(s): Clinton J. Simpson
Respondent(s): Estate of Norma Johnson
Respondent Lawyers(s): Leslie Gates
Arbitrator(s): Muriel Desloovere, Gayle B. Carlson, Coleman Robert Perry
Hearing Site: Jackson, MS
| | Expungement |
| 16-03209 | 02/21/2017 | Claimant(s): JHS Capital Advisors, JHS Capital Holdings
Claimant Lawyers(s): Joel Ewusiak
Respondent(s): William Bendt
Respondent Lawyers(s): William Larry Bendt
Arbitrator(s): Muriel Desloovere
Hearing Site: Columbia, SC
| | |
| 15-01814 | 12/29/2016 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn Diamond Shaw
Respondent(s): Adam Mayfield
Respondent Lawyers(s): Adam Mayfield
Arbitrator(s): Muriel Desloovere, Patricia Gunn, Gary E. Marcus
Hearing Site: Tampa, FL
| | |
| 16-01301 | 12/27/2016 | Claimant(s): James Stewart, James C. Stewart IRA, F. Stewart Rev Liv Trust U/A/D/ 01/23/91, James C. Stewart Trust U/A/D/ 09/22/86
Claimant Lawyers(s): D. Daxton White
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Muriel Desloovere, Jacquelyn M. Shannon, Joseph John Mantione
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
| 16-00052 | 07/06/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Holly Conover-Wade, James Wade
Respondent Lawyers(s): Holly Conover-Wade DO NOT CONTACT, James William Wade - DO NOT CONTACT
Arbitrator(s): Roger C. Benson, Joseph E. Santaularia, Muriel Desloovere
Hearing Site: Tampa, FL
| | Expungement |
