| 10-01181 | 12/30/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Christopher Hamilton
Respondent Lawyers(s): Christopher S. Hamilton
Arbitrator(s): Paul Sidney Elliott, JD
Hearing Site: Orlando, FL
| | |
| 09-07088 | 12/27/2010 | Claimant(s): Eugene Pascarella, Mary Pascarella
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Ron Pekoe, Marc T. Danon, Robert H. Nelson
Hearing Site: Orlando, FL
|  | $75,000 |
| 09-02082 | 12/20/2010 | Claimant(s): Donald Hanks
Claimant Lawyers(s): Don F. Hanks
Respondent(s): Betty Saunders, Raymond, James & Associates., Susan Saunders
Respondent Lawyers(s): Kelli Bullington, William W. Deem
Arbitrator(s): Robert W. Schlitt, Maurice M. Feller, Robert S. Anderson
Hearing Site: Orlando, FL
| | $0 |
| 10-02285 | 12/07/2010 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Scott Mason
Respondent Lawyers(s): Scott David Mason
Arbitrator(s): Guy K. Stewart
Hearing Site: Orlando, FL
| | |
| 10-02373 | 12/07/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Jonathan DeJulio
Respondent Lawyers(s): Jonathan DeJulio
Arbitrator(s): Guy K. Stewart
Hearing Site: Orlando, FL
| | |
| 09-04380 | 12/02/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Paul Fischetti
Respondent Lawyers(s): Allan P. Whitehead
Arbitrator(s): Paul Lilling, Gary F. Lang, Stuart S. Billington
Hearing Site: Orlando, FL
| | |
| 09-02607 | 11/15/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Thomas Spartz
Respondent Lawyers(s): Thomas B. Spartz
Arbitrator(s): Linda Fairchild, Gary F. Lang, Elwood Henry Weilage
Hearing Site: Orlando, FL
| | |
| 09-03285 | 11/03/2010 | Claimant(s): Joseph Mercer
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ricardo Gonzalez
Arbitrator(s): Arthur DeStefano, J. Porter McClean, Frank Brenner
Hearing Site: Orlando, FL
| | $444,978 |
| 09-03048 | 10/13/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Christopher Squires
Respondent Lawyers(s): Christopher Michael Squires
Arbitrator(s): Linda Fairchild, Paul Lilling, Chester Barry White
Hearing Site: Orlando, FL
| | |
| 08-01918 | 09/30/2010 | Claimant(s): Thomas Collins
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Richard W. Thornburg, Harvey Alan Blicksilver, John M. Richey
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
