| 14-03523 | 09/25/2015 | Claimant(s): Daniel Rosenberg
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Richard W. Epstein, David E. Mowry, Andrew Jay Kohan
Hearing Site: Boca Raton, FL
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| 15-01047 | 09/09/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Henry Wasserman
Respondent Lawyers(s): Henry Edward Wasserman
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
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| 14-02350 | 08/24/2015 | Claimant(s): Victor Connor
Claimant Lawyers(s): Spencer Sax
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Caroline K. Hall
Arbitrator(s): Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-03385 | 08/17/2015 | Claimant(s): Michele Kief
Claimant Lawyers(s): Kathy M. Klock
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
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| 13-02025 | 08/03/2015 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): John Pritchard
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Andrew J. Spurgeon, Michael Lau, Alexander Myers
Hearing Site: Boca Raton, FL
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| 14-02207 | 07/15/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Laura J. Starr
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Monroe Mitchel, Michael D Felton, John H. Claudy
Hearing Site: Boca Raton, FL
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| 14-02562 | 06/16/2015 | Claimant(s): Janet Muto
Claimant Lawyers(s): Janet A. Muto
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 14-02913 | 06/02/2015 | Claimant(s): Ira Materetsky
Claimant Lawyers(s): Ira Materetsky
Respondent(s): Jay Fischer, Royal Alliance Associates.
Respondent Lawyers(s): Brian D. Buckstein, Greg Curley
Arbitrator(s): Alice J. Johnson
Hearing Site: Boca Raton, FL
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| 14-02427 | 05/14/2015 | Claimant(s): Scott Goodkind
Claimant Lawyers(s): Craig D Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph L. Bernstein, Bruce K. Isenberg, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL
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| 13-02634 | 05/12/2015 | Claimant(s): PNC Investments LLC
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors, Joe Shimko, Karen Lemay, Lino Gutierrez
Respondent Lawyers(s): Nisha S. Wright
Arbitrator(s): Richard H. Schneider, Rosemarie Ann Jannuzzi, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
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