| 22-02415 | 07/26/2024 | Claimant(s): BG Strategic Advisors, BGSA Holdings
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Ryan Kuhn
Respondent Lawyers(s): Peter T. Mavrick
Arbitrator(s): Avery B. Goodman, Stephen Gregg Ellis, Danny Lynn Ingram
Hearing Site: Boca Raton, FL
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| 19-02079 | 11/30/2021 | Claimant(s): Joe King, Lynn Faust, Michael Faust
Claimant Lawyers(s): Debra A. Jenks, Marc S. Dobin
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Suzanne E. Reynolds-Brady, Cindy L. Anderson, Meeta Alberta Bass
Hearing Site: Tampa, FL
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| 16-02560 | 03/02/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): William Fritz
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 12-01026 | 06/18/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Patrick J. Whalen
Respondent(s): Kenneth Williams
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Thomas B. Phillips, M. W. Gear, Walter N. Vernon
Hearing Site: Kansas City, MO
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| 11-01914 | 01/04/2013 | Claimant(s): Gregory Torretta
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Marguerite B. Filson, Paul S. Biederman, Joel Morton Newman
Hearing Site: New York, NY
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| 12-00695 | 11/01/2012 | Claimant(s): Brian Gaister
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Glen and Wendy Tand
Respondent Lawyers(s): Mark T. Willen
Arbitrator(s): Patrick Sean Dolan
Hearing Site: Baltimore, MD
| | Expungement |
| 11-00252 | 04/10/2012 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): John Mullen
Respondent(s): Allen Hegener
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Ronald H. Walton, George K. Beardsley, Kenneth R. Starr
Hearing Site: Tampa, FL
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| 11-01916 | 11/10/2011 | Claimant(s): Stuart Siegel
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): John Gwynn, Martha Gwynn, Mary Gwynn, Martha M. Gwynn Rev. Trust UAD 5/14/90
Respondent Lawyers(s): John L. Gwynn, Martha L. Gwynn, Mary L. Gwynn
Arbitrator(s): Christopher M. Shulman
Hearing Site: Tampa, FL
| | Expungement |
| 09-03002 | 03/14/2011 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): Morgan Keegan & Company., Todd Rozzo
Respondent Lawyers(s): Charles M. Dalziel, Marc S. Dobin
Arbitrator(s): Allen Kilik, Ellen J. Abrams, Ronald J. Kovack
Hearing Site: Boca Raton, FL
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| 09-03343 | 03/31/2010 | Claimant(s): Lauren Stauffer
Claimant Lawyers(s): Jeffrey S. Kruske
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Donald B. Clark, Sharon Lee McKinney, Steven Joseph Streen
Hearing Site: Kansas City, MO
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