| 17-01245 | 12/14/2017 | Claimant(s): Marc Silverman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America., Geneos Wealth Management.
Respondent Lawyers(s): Christina Heller, Michelle M. Atlas
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
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| 16-02781 | 07/20/2017 | Claimant(s): Patrick Dwyer
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Steven N. Ainbinder, Barry David Thorpe, Keith Robert Santillo
Hearing Site: Miami, FL
| | |
| 15-03419 | 02/16/2017 | Claimant(s): Jose Patino
Claimant Lawyers(s): Joseph S. Van de Bogart
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Barry David Thorpe, Mark A Bilawsky, Bernardo Hevia
Hearing Site: Boca Raton, FL
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| 16-01332 | 02/14/2017 | Claimant(s): Marc Silverman
Claimant Lawyers(s): Carla B. Minckley
Respondent(s): Securities America.
Respondent Lawyers(s): Kevin J. Miller
Arbitrator(s): Jonathan H. Parker, Kimberly A. Gilmour, Barry David Thorpe
Hearing Site: Miami, FL
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| 16-01979 | 02/03/2017 | Claimant(s): Veronica Lopez-Lopez
Claimant Lawyers(s): Benjamin J . Biard
Respondent(s): UBS International Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Jonathan H. Parker, Barry David Thorpe, Jeanne Charles Wood
Hearing Site: Miami, FL
| | Expungement |
| 16-02082 | 02/01/2017 | Claimant(s): Nelson Faro
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
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| 13-02100 | 01/17/2014 | Claimant(s): Philippe Rousseaux
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): MetLife Securities Inc.
Respondent Lawyers(s): Sheila Murphy
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
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| 12-00119 | 10/03/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Mark J. Alonso
Respondent(s): Otto Font
Respondent Lawyers(s): Otto Francisco Font
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
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| 11-02772 | 08/13/2013 | Claimant(s): John Reeve
Claimant Lawyers(s): Rodney K Vincent
Respondent(s): Dennis Flanagan
Respondent Lawyers(s): Aaron Resnick,Esq.
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
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| 10-01428 | 09/07/2011 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Andrea Perry Block
Respondent(s): Edelmiro Hernandez, Jack Petersen, Tom Kalaris
Respondent Lawyers(s): Andrea Perry Block, Douglas A. Kahle
Arbitrator(s): Robert A. Fabricant, Cindy L. Anderson, Barry David Thorpe
Hearing Site: Miami, FL
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