| 20-03020 | 09/17/2021 | Claimant(s): James Clemensen
Claimant Lawyers(s): Harris Freedman
Respondent(s): Cliftonlarsonallen Wealth Advisors
Respondent Lawyers(s): Brian J. Buffie
Arbitrator(s): Gerald Thomas Harper
Hearing Site: Orlando, FL
| | |
| 20-03256 | 08/31/2021 | Claimant(s): The Sorkin Living Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Gayle B. Carlson, Alan E. Linden, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
|  | Dismissed by Rule 12206 |
| 20-04154 | 08/20/2021 | Claimant(s): George Stefanou
Claimant Lawyers(s): Harris Freedman
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan Hackbarth
Arbitrator(s): Mitchel Weiss
Hearing Site: Orlando, FL
| | |
| 21-00036 | 07/22/2021 | Claimant(s): Dean Nowak
Claimant Lawyers(s): Harris Freedman
Respondent(s): Signator Investors.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
| | |
| 20-02873 | 05/20/2021 | Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Brian Luther
Respondent(s): QA3 Financial Corp., United Planners' Financial Services Of A
Respondent Lawyers(s): Dave Hauer, Stephen Wild
Arbitrator(s): Martin M. Van Luven
Hearing Site: Orlando, FL
| | |
| 19-02025 | 05/10/2021 | Claimant(s): Clyde Holland, Michele Holland
Claimant Lawyers(s): Randall Place
Respondent(s): Morgan Stanley, Thomas Eisenhuth
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Ron Pekoe, Gayle B. Carlson, John Briggs
Hearing Site: Orlando, FL
| | Expungement |
| 20-01456 | 05/10/2021 | Claimant(s): Leonard Bejger
Claimant Lawyers(s): Leonard James Bejger
Respondent(s): David Miller, Eric Burnette, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Mauricio Arcadier
Hearing Site: Orlando, FL
| | $300 |
| 19-03258 | 04/09/2021 | Claimant(s): Charles Hall
Claimant Lawyers(s): Victor L. Hayslip
Respondent(s): Asher Wolmark, William Vellon, Kingsbury Capital.
Respondent Lawyers(s): Nicholas P. Iavarone
Arbitrator(s): Gayle B. Carlson, Lane A. Fentriss, Denise Morris Hammond
Hearing Site: Orlando, FL
| | |
| 20-00402 | 03/02/2021 | Claimant(s): John Miller
Claimant Lawyers(s): John Stephen Miller
Respondent(s): David Miller, Eric Burnette, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Gerald Thomas Harper
Hearing Site: Orlando, FL
| | $213 |
| 20-01775 | 02/17/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Richard Flecca
Respondent Lawyers(s): Richard Warren Flecca
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL
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