| 21-03059 | 08/05/2022 | Claimant(s): Robert Wolfe
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Diane M. Perry
Hearing Site: Boca Raton, FL
| | |
| 19-03294 | 04/07/2020 | Claimant(s): Robert Warther
Claimant Lawyers(s): James P. Galvin
Respondent(s): Securities America.
Respondent Lawyers(s): Laurel A. Whelan
Arbitrator(s): Diane M. Perry, Robert G. Geeseman, Tiffany Ann Taylor
Hearing Site: Boca Raton, FL
| | |
| 12-02198 | 04/29/2014 | Claimant(s): Thomas Nelson
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Diane M. Perry, Robert Zelinka, Stephen Kahane
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-02428 | 10/13/2010 | Claimant(s): Albert Montague, Willard Rumley
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Catherine S. Ryan
Arbitrator(s): Diane M. Perry, Laila Asmar Folk, Robert B. Kane
Hearing Site: Boca Raton, FL
| | |
