| 19-00351 | 06/03/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Jonathan Ender
Respondent Lawyers(s): V. Michael Arias
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 18-02580 | 04/24/2019 | Claimant(s): Marc Lowell
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): Argentus Securities
Respondent Lawyers(s): James Jeffrey Halvosa
Arbitrator(s): Susan L. Torbin, Richard J. Kaplan, Jonathan Chane
Hearing Site: Boca Raton, FL
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| 16-01969 | 01/17/2018 | Claimant(s): Sean Fetterman
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors, FMSBonds.
Respondent Lawyers(s): Beverly Jo Slaughter, Sydney A. Marks
Arbitrator(s): Richard J. Kaplan, Linda M. Foster-Wells, Jay Eng
Hearing Site: Boca Raton, FL
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| 17-00539 | 12/12/2017 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): John Pritchard
Respondent Lawyers(s): John Kenneth Pritchard
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 16-03466 | 05/31/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Gregg Weiss
Respondent Lawyers(s): Gregg Brian Weiss
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 16-00742 | 03/30/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Gary Oliphant
Respondent Lawyers(s): Gary Walter Oliphant
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 12-02874 | 11/21/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Douglas Warstler
Respondent Lawyers(s): Douglas William Warstler
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 12-04132 | 09/12/2013 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Dimitrios Koutsoubos
Respondent Lawyers(s): Dimitrios Koutsoubos
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 10-02853 | 12/02/2011 | Claimant(s): Daniel Losito
Claimant Lawyers(s): Douglas A. Kahle
Respondent(s): Dennis Encapera, Felix Ajegbo, GoNow Securities.
Respondent Lawyers(s): Dennis Paul Encapera, Ephraim O. Obi
Arbitrator(s): George J. Blutstein, Richard J. Kaplan, Michael Edward Geringer
Hearing Site: Boca Raton, FL
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| 11-02283 | 11/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Humbert Michini
Respondent Lawyers(s): Humbert A. Michini
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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