| 20-01794 | 02/23/2021 | Claimant(s): Vincent Bonavia
Claimant Lawyers(s): Harris Freedman
Respondent(s): Valmark Securities.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 20-01003 | 10/09/2020 | Claimant(s): Rodger Shay
Claimant Lawyers(s): Harris Freedman
Respondent(s): Austin Atlantic Capital Inc.
Respondent Lawyers(s): Kevin A. Rowe
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 19-00493 | 11/26/2019 | Claimant(s): Robert Burns
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 19-01061 | 08/07/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Lauren Whetstone
Respondent(s): Frankie Gonzalez
Respondent Lawyers(s): Frankie Gonzalez
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 18-03476 | 05/08/2019 | Claimant(s): Brett Oley
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 16-02036 | 11/29/2017 | Claimant(s): Michael Ratner, UBS Credit Corp.
Claimant Lawyers(s): Arthur C. Koski, Michael D. Lee
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael D. Lee
Arbitrator(s): James W. Geiger, Leonard Michael Cusano, Andrew F. Greitz
Hearing Site: Boca Raton, FL
| | |
| 15-00022 | 12/02/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Charles Pfeiffer
Respondent Lawyers(s): Charles Pfeiffer
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 15-00880 | 11/04/2016 | Claimant(s): Deborah Adeimy
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janelle M. Ahnert
Arbitrator(s): James W. Geiger, Carolyn E. Moore, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | |
| 15-00369 | 06/27/2016 | Claimant(s): Christopher Mcdermott
Claimant Lawyers(s): Curtis Carlson
Respondent(s): MBSC Securities Corporation, BNY Mellon, N.A.
Respondent Lawyers(s): Alec Hillbo, Daniel Canales
Arbitrator(s): James W. Geiger, Edward R. Niederriter, Michael McCallion
Hearing Site: Boca Raton, FL
| | |
| 14-02560 | 02/08/2016 | Claimant(s): Herbert Jablin
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Lawrence M. Green, James W. Geiger, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | |
