| 17-00252 | 06/23/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Matthew Gaer
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Daniel H. Yaffe, Paul Weinberg, Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 15-01979 | 06/16/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Patrick G. King
Respondent(s): Scott Sade
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Monroe Mitchel, Mark I. Roth, John S. Leech
Hearing Site: Boca Raton, FL
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| 15-03463 | 06/05/2017 | Claimant(s): Paul Blum
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Robert J. Buchner, Donald Theodore Ryce, Justin M. Moore
Hearing Site: Boca Raton, FL
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| 16-03013 | 06/02/2017 | Claimant(s): Keith Singer
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): Argentus Securities
Respondent Lawyers(s): James Jeffrey Halvosa
Arbitrator(s): Paul J. Burkhart, Jeremy M. Colvin, Ronald Stephen Robins
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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| 16-02093 | 05/26/2017 | Claimant(s): Kurt Sylvia
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Karen Z. Fischer, Sandra J. Bakalus, Stephen Kahane
Hearing Site: Boca Raton, FL
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| 16-03560 | 05/17/2017 | Claimant(s): Wayne Meland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly Gustafson
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 13-03476 | 05/16/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barny Notes Holding
Claimant Lawyers(s): Patrick G. King
Respondent(s): Michael Smith
Respondent Lawyers(s): Aaron A. Wernick
Arbitrator(s): Marc T. Danon, Bruce M. Alster, Robert J. Buchner
Hearing Site: Boca Raton, FL
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| 16-00339 | 05/16/2017 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Ginny Neal
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Jay L. Valinsky, Gloria O. North, William Kent Brown
Hearing Site: Boca Raton, FL
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| 16-03362 | 04/26/2017 | Claimant(s): Mark Zuckerman
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Alyce Tedesco, Alyce and Francis Tedesco, Eshagh and Helen Moezinia
Respondent Lawyers(s): Alyce Tedesco, Eshagh Moezinia, Frank Tedesco
Arbitrator(s): Mark C. Perry, Robert S. Natiss, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Expungement |
