| 08-01879 | 09/02/2011 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Hernando Cortes, James Matthew, Jason Sharfstein, John Kelly, Kevin O'Halloran, Robert Gaeta, Steven Rabinovici, Todd Zuckerbrod, Stockcross Financial Services., The Estate of Gerard Mastrianni
Respondent Lawyers(s): George Brunelle, J. Christopher Albanese, Martin H. Kaplan, Michael P. Gilmore, Todd A. Zuckerbrod
Arbitrator(s): Marc T. Danon, Stuart S. Billington, Jack A. Helms
Hearing Site: Orlando, FL
| | |
| 10-04445 | 09/02/2011 | Claimant(s): Evanna Ondeck Cohen Rev Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): John R. Pepe, Benjamin L. Abramowitz, Harvey Alan Blicksilver
Hearing Site: Orlando, FL
|  | Stipulated Award and Expungement |
| 10-03144 | 08/12/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Peter Sagorski
Respondent Lawyers(s): Peter Sagorski
Arbitrator(s): Kathryn M. Welsh
Hearing Site: Orlando, FL
| | |
| 09-00111 | 08/10/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Stephanie McLaughlin
Respondent(s): Mark Hoffman
Respondent Lawyers(s): David C. Reeves
Arbitrator(s): Patricia Gunn, Thomas Roe Oldt, Lauren S. Puritz
Hearing Site: Orlando, FL
| | |
| 10-03778 | 08/04/2011 | Claimant(s): Joe Stapleton
Claimant Lawyers(s): Robert W. Elton
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Daniel P. Lund
Hearing Site: Orlando, FL
| | $0 |
| 09-04236 | 07/28/2011 | Claimant(s): Donald L. Ames Trust U/A DTD 4/9/82, Mary R. Ames Trust U/A DTD 4/9/82
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Benjamin L. Abramowitz, David C. Matthews, Robert S. Anderson
Hearing Site: Orlando, FL
| | Expungement |
| 10-01790 | 07/07/2011 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Justin P. Krypel
Respondent(s): Randall Deane
Respondent Lawyers(s): Philip J Snyderburn
Arbitrator(s): Robert S. Natiss
Hearing Site: Orlando, FL
| | |
| 10-01051 | 07/07/2011 | Claimant(s): James D. Adkins, Stephanie L. Adkins
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Wells Fargo Advisors, Ernest Watson, Jeff Tucker
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Warren A. Forest, Robert Finder, A.J. Seier
Hearing Site: Orlando, FL
| | $217,928 |
| 10-05675 | 06/17/2011 | Claimant(s): Bette Gell, Russell Gell, Russell and Bete Gell
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): David Witter
Respondent Lawyers(s): Eric A. Lanigan
Arbitrator(s): Alun Hywel Jones
Hearing Site: Orlando, FL
| | $5,805 |
| 10-02648 | 06/15/2011 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): William Abruzzino
Respondent Lawyers(s): William Abruzzino
Arbitrator(s): Jack A. Helms
Hearing Site: Orlando, FL
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