| 13-02941 | 09/18/2014 | Claimant(s): Russell Hartung IRRA, Joan C. Hartung Trust J U/A DTD 07/06/93
Claimant Lawyers(s): William B. Young
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Thomas Joseph Atkinson, Floyd Edward Roberts, Alan E. Linden
Hearing Site: Orlando, FL
|  | Expungement |
| 13-03482 | 09/18/2014 | Claimant(s): Gerald Kreimeyer, Gerald K. Kreimeyer, IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Mark R. Topper, Thomas Joseph Atkinson, Anthony Richard Sanchez
Hearing Site: Orlando, FL
| | Expungement |
| 12-03840 | 09/17/2014 | Claimant(s): Volker Gallichio
Claimant Lawyers(s): William B. Young
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Peter D. Schiff
Arbitrator(s): Ronald W. Devoe, Stuart K. Furman, Patrick George Barclay
Hearing Site: Orlando, FL
| | $40,000 |
| 13-02712 | 09/17/2014 | Claimant(s): Cynthia Capozzoli, Frank Capozzoli
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Robert R. Warchola
Arbitrator(s): Edith N. Dinneen
Hearing Site: Orlando, FL
| | $88,394 |
| 14-00255 | 09/10/2014 | Claimant(s): A.J. Russell
Claimant Lawyers(s): A.J. Russell
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Beverly S. Gordon
Hearing Site: Orlando, FL
| | $88 |
| 13-00462 | 09/03/2014 | Claimant(s): Alan Valenca
Claimant Lawyers(s): Jeffrey R. Mazer
Respondent(s): Dennis Sain, The Newport Group
Respondent Lawyers(s): John M. Simon
Arbitrator(s): Elwood Henry Weilage, Robert G. Geeseman, Robert G. Bannon
Hearing Site: Orlando, FL
| | |
| 14-00111 | 09/03/2014 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Peter Benvenuto
Respondent Lawyers(s): Peter Leonard Benvenuto
Arbitrator(s): Stuart Harvey Ziegler
Hearing Site: Orlando, FL
| | |
| 13-00792 | 08/19/2014 | Claimant(s): Frank Maglio, Kathryn Maglio, Frank P. Maglio IRA
Claimant Lawyers(s): William B. Young
Respondent(s): SII Investments.
Respondent Lawyers(s): Burton W. Wiand
Arbitrator(s): Stuart K. Furman, Colleen Rotella, Stanley Warren Plappert
Hearing Site: Orlando, FL
| | Expungement |
| 13-01436 | 07/30/2014 | Claimant(s): David Hamaker, Ruth Hamaker
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Jeffrey Graunke, Securities America.
Respondent Lawyers(s): Benjamin J. Biard, Elaine M. Rice
Arbitrator(s): Robert J. Walter
Hearing Site: Orlando, FL
| | Expungement |
| 13-03586 | 07/17/2014 | Claimant(s): Harry Butler & Elaine Butler JNT TEN
Claimant Lawyers(s): Elaine Butler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Gayle B. Carlson
Hearing Site: Orlando, FL
| | $88 |
