| 12-03835 | 07/10/2013 | Claimant(s): Henry Hancock, Khalid Nazir, Richard Dino, Sandra Hershberg, James Goodman IRA, Jonathan Lobatto IRA, James L. Fosshage Profit Sharing Plan, Steffke Family Revocable Trust, The Red Trust
Claimant Lawyers(s): Phillip J. Snyderburn
Respondent(s): Grace Financial Group LLC
Respondent Lawyers(s): William Kebbe, Esq.
Arbitrator(s): Beverly S. Gordon
Hearing Site: Orlando, FL
|  | $51,600 |
| 12-02817 | 07/02/2013 | Claimant(s): The Estate of Elvira C. Iasso
Claimant Lawyers(s): John Narccarelli
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert G. Geeseman
Hearing Site: Orlando, FL
| | $300 |
| 12-02957 | 06/24/2013 | Claimant(s): Helen Hall
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Gayle B. Carlson
Hearing Site: Orlando, FL
| | $11,657 |
| 11-01714 | 06/13/2013 | Claimant(s): Ralph Sergott
Claimant Lawyers(s): Jahan Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Ronald W. Devoe, Thomas Joseph Atkinson, Stephen A. Saker
Hearing Site: Orlando, FL
| | Expungement |
| 12-04070 | 06/06/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney Rogers Reid
Respondent(s): David Strunc
Respondent Lawyers(s): David Isaiah Strunc
Arbitrator(s): Jack A. Helms
Hearing Site: Orlando, FL
| | |
| 12-00495 | 05/15/2013 | Claimant(s): John Trammell and Catherine Trammell
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jack A. Helms
Hearing Site: Orlando, FL
| | Expungement |
| 10-03359 | 04/22/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Michael Cook
Respondent Lawyers(s): R. Rogge Dunn
Arbitrator(s): Michael J. Ahlstrom, Joyce Sikora, Kenrick Albert Pratt
Hearing Site: Orlando, FL
| | |
| 11-01929 | 04/22/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Daniel Botyos, Lewis Blalock
Respondent Lawyers(s): David C. Reeves
Arbitrator(s): Colleen Grace, Frank William Savino, Raymond E. Cornelius
Hearing Site: Orlando, FL
| | |
| 11-04384 | 03/26/2013 | Claimant(s): Richard Gallagher
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): TD Ameritrade., Jerry Clark
Respondent Lawyers(s): James J. Vihstadt, Jerry Eaton Clark
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $580,000 |
| 11-02299 | 01/31/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Kenneth Buccelli
Respondent Lawyers(s): Allen P. Whitehead
Arbitrator(s): Susanne J. Hollander
Hearing Site: Orlando, FL
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