| 16-03679 | 12/12/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Jeffrey Wegner
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Joseph I. Goldstein, Cindy L. Anderson, Elwood Henry Weilage
Hearing Site: Orlando, FL
| | |
| 18-00537 | 11/19/2018 | Claimant(s): David Wiercinski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
| | |
| 16-03105 | 06/14/2018 | Claimant(s): Deborah Gartner
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Aaron Ray, Vanguard Capital
Respondent Lawyers(s): Aaron Christopher Ray, Jeffrey S. Kob
Arbitrator(s): Thomas Joseph Atkinson, Jack A. Helms, Alan E. Linden
Hearing Site: Orlando, FL
|  | $90,300 |
| 17-02443 | 06/05/2018 | Claimant(s): Columbus- Sierra, Peter Sierra Living Trust dtd 4/15/14
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Edith N. Dinneen, Thomas Joseph Atkinson, Ronald Charles Waters
Hearing Site: Orlando, FL
| | Dismissed by Rule 12206 |
| 14-02939 | 05/09/2018 | Claimant(s): International Assets Advisory
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Edward Cofrancesco, Mauricio Cardenas, Michael Montalvo
Respondent Lawyers(s): Curtis Carlson, Tracy L. Gerber
Arbitrator(s): Stuart K. Furman, Avery B. Goodman, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | |
| 17-03203 | 05/02/2018 | Claimant(s): Manuel Melliza
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL
| | $48,600 |
| 18-00055 | 04/03/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Jason Sullivan
Respondent Lawyers(s): Jason David Sullivan
Arbitrator(s): Maurice M. Feller
Hearing Site: Orlando, FL
| | |
| 17-02744 | 02/23/2018 | Claimant(s): Kovack Securities Inc
Claimant Lawyers(s): Amy Towle
Respondent(s): Michael Milne
Respondent Lawyers(s): Michael Corbett Milne
Arbitrator(s): Gail E. Sasnett
Hearing Site: Orlando, FL
| | |
| 16-03521 | 02/01/2018 | Claimant(s): Ryan Wyatt
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors, Wunderlich Securities.
Respondent Lawyers(s): Patricia E. Cowart, Tracy Wiswall
Arbitrator(s): Marc T. Danon, Ken Ziesenheim, John Briggs
Hearing Site: Orlando, FL
| | |
| 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 |
