| 15-00492 | 11/20/2015 | Claimant(s): Heidi O'Brien, Raymond O'Brien
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
|  | Expungement |
| 14-01210 | 03/17/2015 | Claimant(s): Quentin Anderson
Claimant Lawyers(s): Richard L. Grant
Respondent(s): Raymond, James & Associates., Eagle Asset Management, Eagle Fund Distributors.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Randall T. Stack, Muriel Desloovere, Rochelle Friedman Walk
Hearing Site: Tampa, FL
| | |
| 13-00688 | 09/24/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney R Reid
Respondent(s): Glenn Donahue
Respondent Lawyers(s): Glenn David Donahue
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
| | |
| 10-00711 | 06/07/2012 | Claimant(s): Robert Fox
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-01274 | 05/25/2012 | Claimant(s): Hector Sanchez and Lourdes M. Sanchez
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Muriel Desloovere, Thomas F. Icard, Leslie Reese Murtagh
Hearing Site: Tampa, FL
| | Stipulated Award |
| 09-07217 | 05/18/2012 | Claimant(s): Edward Clark
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-00311 | 04/12/2012 | Claimant(s): Albert Seivold, Deborah Seivold
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Muriel Desloovere
Hearing Site: Orlando, FL
| | Stipulated Award |
| 10-02056 | 04/12/2012 | Claimant(s): Cygnex
Claimant Lawyers(s): Neal Brickman
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Tracy Gerber
Arbitrator(s): Muriel Desloovere, Mary T. Hettig, Noel K. Evans
Hearing Site: Tampa, FL
| | Expungement |
| 10-03084 | 11/11/2011 | Claimant(s): Carolyn Smith, John Smith, Sr. (Annuity), Carolyn K. Smith IRA, John Edward Smith, Sr. IRA
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Alison Hardage, Muriel Desloovere, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | $55,861 |
| 09-02926 | 11/10/2011 | Claimant(s): Margaret Noble
Claimant Lawyers(s): Margaret K Noble
Respondent(s): Edward Rosenberg, Richard Angelotti
Respondent Lawyers(s): Marc Dobin, Richard Henry Angelotti
Arbitrator(s): Muriel Desloovere, Oliver J. Janney, Keith M. Crouse
Hearing Site: Tampa, FL
| | Expungement |
