| 23-00005 | 10/04/2024 | Claimant(s): Harry Pappas
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Casey Middleton, Wells Fargo Clearing Services
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): William Kent Brown, David Robert Coughlin, Jeff Cappelletti
Hearing Site: Boca Raton, FL
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| 23-01783 | 01/12/2024 | Claimant(s): Ghiass Ali, Sunshine Financial Solutions of South FL
Claimant Lawyers(s): Demetrios Pavlou
Respondent(s): Scott Storick
Respondent Lawyers(s): Scott R. Storick
Arbitrator(s): William Kent Brown
Hearing Site: Boca Raton, FL
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| 23-01104 | 12/19/2023 | Claimant(s): Mark Matthes
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Paul Weinberg, William Kent Brown, Tiffany Ann Taylor
Hearing Site: Boca Raton, FL
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| 21-01874 | 03/16/2022 | Claimant(s): Javier Garcia
Claimant Lawyers(s): Javier Garcia
Respondent(s): UBS International Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): William Kent Brown, Virginia Lee Perez-Berry, Scott Joseph Pagano
Hearing Site: Boca Raton, FL
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| 21-01164 | 02/22/2022 | Claimant(s): Stephen Brown
Claimant Lawyers(s): Craig Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): William Kent Brown, Will Murphy, Tina Scott Polsky
Hearing Site: Boca Raton, FL
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| 17-00373 | 11/21/2017 | Claimant(s): Jeremy Gottlieb
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William Kent Brown, William E. Schneider, Alisa Matire
Hearing Site: Boca Raton, FL
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| 16-00339 | 05/16/2017 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Ginny Neal
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Jay L. Valinsky, Gloria O. North, William Kent Brown
Hearing Site: Boca Raton, FL
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| 10-00933 | 02/24/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Richard Plevy
Respondent Lawyers(s): Adam D. Palmer
Arbitrator(s): Jeffrey C. Thompson, Ilisa J. Smukler, William Kent Brown
Hearing Site: Boca Raton, FL
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