| 24-00110 | 09/26/2024 | Claimant(s): Tony Toska
Claimant Lawyers(s): Harris Freedman
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 23-01624 | 09/19/2024 | Claimant(s): Ramesh Madhusudan
Claimant Lawyers(s): Randi Perry Spallina
Respondent(s): Raymond James Financial Services., Vfinance Investments
Respondent Lawyers(s): Laura Ruiz Rivera, William Groeneveld
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 24-00654 | 09/17/2024 | Claimant(s): Clinton Wilson
Claimant Lawyers(s): Nathan Lamb
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): M W Gear, Ellen J. Abrams, Michael John Florio
Hearing Site: Boca Raton, FL
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| 23-01164 | 08/28/2024 | Claimant(s): First Republic Investment Management, First Republic Securities Company
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Steven Levine
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Ronald Howard Filler, Robert Lawrence Ostrov, Mark H Schiff
Hearing Site: Boca Raton, FL
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| 23-02724 | 08/22/2024 | Claimant(s): Paul Zoch
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
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| 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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| 23-02767 | 07/15/2024 | Claimant(s): Devin McCabe
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Laidlaw & Company (UK) LTD.
Respondent Lawyers(s): Charles Smulevitz
Arbitrator(s): Randy R Freedman
Hearing Site: Boca Raton, FL
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| 23-02741 | 07/11/2024 | Claimant(s): Stephen Mosca
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Steven N. Ainbinder, Edward Alexander Jaffe, Rosemarie Elizabeth Stoffo
Hearing Site: Boca Raton, FL
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| 23-02902 | 06/28/2024 | Claimant(s): Lawrence Catena
Claimant Lawyers(s): Josef Y Rosen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 21-00334 | 06/25/2024 | Claimant(s): Candido Viyella, Enrique Viyella
Claimant Lawyers(s): Scott J. Link
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Sonja Shuford, Lan Trinh, Yana Sogolov
Hearing Site: Boca Raton, FL
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