| 16-00742 | 03/30/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Gary Oliphant
Respondent Lawyers(s): Gary Walter Oliphant
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 16-03206 | 03/29/2017 | Claimant(s): SII Investments.
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Chad Barancyk
Respondent Lawyers(s): Chad Ryan Barancyk
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 16-00553 | 03/27/2017 | Claimant(s): Ilan Preis
Claimant Lawyers(s): Darlene R. Gimble
Respondent(s): Sagepoint Financial., American General Securities Incorporated
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Charles Hoffman, Robert H. Loevin, John Roth Roberts
Hearing Site: Boca Raton, FL
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| 16-01446 | 03/14/2017 | Claimant(s): Michael Puck
Claimant Lawyers(s): Michael Hill
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): George G. Kurschner
Hearing Site: Boca Raton, FL
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| 16-02560 | 03/02/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): William Fritz
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 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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| 16-02952 | 01/09/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Roger Bell
Respondent Lawyers(s): Roger Ericson Bell
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 16-00698 | 01/03/2017 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J. Breibart
Respondent(s): Bryan Lubitz
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
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| 16-02387 | 12/07/2016 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Patrick Bray
Respondent Lawyers(s): Patrick Ryan Bray
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
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| 15-00022 | 12/02/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Charles Pfeiffer
Respondent Lawyers(s): Charles Pfeiffer
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
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