| 17-00195 | 10/17/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corporation
Claimant Lawyers(s): James L. Komie
Respondent(s): David Fagenson
Respondent Lawyers(s): David Howard Fagenson
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 17-00893 | 10/11/2017 | Claimant(s): Matthew Shafer
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): David G. Pittinos, Richard S. Herman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
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| 16-03224 | 10/09/2017 | Claimant(s): Vivienne Schleu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, WMA Securities., World Group Securities.
Respondent Lawyers(s): Clive Slovin, Jon D. Kaplon, Susan D. Duff
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 15-03318 | 08/29/2017 | Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Bruce K. Isenberg, Donald Theodore Ryce, Jay Eng
Hearing Site: Boca Raton, FL
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| 16-03723 | 08/16/2017 | Claimant(s): Ricardo Latta
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Kovack Securities Inc.
Respondent Lawyers(s): Amy Towle
Arbitrator(s): Howard N. Kahn, Gary M. Landau, David Rich
Hearing Site: Boca Raton, FL
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| 16-00740 | 08/10/2017 | Claimant(s): Leonard Suskind
Claimant Lawyers(s): Daniel S. Newman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Michael A. Levin, Will Murphy, Paul J. Burkhart
Hearing Site: Boca Raton, FL
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| 14-02736 | 07/17/2017 | Claimant(s): Citi International Financial Services
Claimant Lawyers(s): Steven Castaldo
Respondent(s): Carlos Gajardo, Claudia Vicente, Cristobal Nelson, Karim Pichara, Maximiliano Contador, Patricio Bergmann, VectorGlobal WMG.
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): G. Robert Abrams, Gregory S. Tendrich, Gilbert Tendler
Hearing Site: Boca Raton, FL
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| 14-01598 | 07/07/2017 | Claimant(s): Allan Yarkin, Hank Boyce
Claimant Lawyers(s): Allan M. Lerner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tina Winer
Arbitrator(s): Alice J. Johnson, Robert J. Bender, William John Kattula
Hearing Site: Boca Raton, FL
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| 16-03322 | 06/30/2017 | Claimant(s): Andrew Zentmayer, David Powers, Marc Morell
Claimant Lawyers(s): Alex J. Rosenthal
Respondent(s): Kristen Dobkowski
Respondent Lawyers(s): Steven D. Toskes
Arbitrator(s): Mark C. Perry, Gilbert A. Schnirman, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-03542 | 06/27/2017 | Claimant(s): Michael Newton
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Kovack Securities Inc.
Respondent Lawyers(s): Amy Towle
Arbitrator(s): Steven N. Ainbinder, Will Murphy, Tina Scott Polsky
Hearing Site: Boca Raton, FL
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