| 15-01223 | 03/29/2017 | Claimant(s): Richard White
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Wells Fargo Securities
Respondent Lawyers(s): Kevin J. Dalton
Arbitrator(s): Robert H. Putnam, David M. Levine, William Finley Hamel
Hearing Site: Charlotte, NC
| | |
| 14-01905 | 01/23/2015 | Claimant(s): Securities America.
Claimant Lawyers(s): Christina Heller
Respondent(s): Don Kizer
Respondent Lawyers(s): Don Freeman Kizer
Arbitrator(s): David M. Levine
Hearing Site: Columbia, SC
| | |
| 11-03445 | 05/31/2013 | Claimant(s): Louis J. Alimena, Trustee
Claimant Lawyers(s): William H Champlin
Respondent(s): Michael Barron
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): David M. Levine, Martin M. Van Luven, Sidney Turner
Hearing Site: Boca Raton, FL
|  | Expungement |
| 08-04856 | 12/28/2012 | Claimant(s): J.N. Raines, Julie Raines, Fischer Lime & Cement Company.
Claimant Lawyers(s): Caroline Smith Gidiere
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Alexandra M. Linden, David M. Levine, E. William Pastor
Hearing Site: Memphis, TN
| | $61,726 |
| 11-04757 | 10/23/2012 | Claimant(s): Andrew Menachem
Claimant Lawyers(s): Laura R. Whetstone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Allison D. Patton
Arbitrator(s): David M. Levine
Hearing Site: Miami, FL
| | |
| 11-04409 | 09/07/2012 | Claimant(s): The Bachman Living Trust
Claimant Lawyers(s): Richard P. Bachman
Respondent(s): John Cumbow, Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): David M. Levine
Hearing Site: Ft. Lauderdale, FL
| | $10,000 |
| 11-02695 | 07/20/2012 | Claimant(s): Donald P. Lenio, IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Susan Macfarlane
Arbitrator(s): David M. Levine
Hearing Site: Orlando, FL
| | Expungement |
| 11-03192 | 04/20/2012 | Claimant(s): Francisco de Assis Cabral, Miriam Cabral
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Flavio Hojda, Safra Securities
Respondent Lawyers(s): Lauren S. McGoey
Arbitrator(s): David M. Levine
Hearing Site: Miami, FL
| | Expungement |
| 10-02971 | 03/30/2012 | Claimant(s): John Murphy
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Camille Besold, David M. Levine, Jon Stanley Spisiak
Hearing Site: Boca Raton, FL
| | $250,000 |
| 11-01172 | 03/12/2012 | Claimant(s): John Boelke
Claimant Lawyers(s): John Raphael Boelke
Respondent(s): Paulson Investment Company
Respondent Lawyers(s): Steven C. Berman
Arbitrator(s): Gustavus L. Pearthree, David M. Levine, C. Richard Mancini
Hearing Site: Ft. Lauderdale, FL
| | |
