| 11-01245 | 07/16/2014 | Claimant(s): Kevin McCluskey
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Gloria O. North, Mitchell F. Colen
Hearing Site: Boca Raton, FL
| | |
| 12-03714 | 07/14/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keith Olin
Respondent(s): Michael Petramalo
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Edward R. Niederriter, Andrew R. Present, Milton Thurm
Hearing Site: Boca Raton, FL
| | |
| 13-02765 | 06/24/2014 | Claimant(s): Rosita Kaufman, Morgan Stanley
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Harry Javer, Renee Javer, Scott Javer, Stanley Javer
Respondent Lawyers(s): Michael P. Amad
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00811 | 06/18/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Thomas Leinwol
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 13-00506 | 06/16/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Stephen Ridgely
Respondent Lawyers(s): Stephen Eldridge Ridgely
Arbitrator(s): Steven R. Reininger, Kimberly A. Gilmour, Sandra J. Bakalus
Hearing Site: Boca Raton, FL
| | |
| 12-04106 | 06/12/2014 | Claimant(s): Julian Stoopler
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Lawrence Brazie, Westminster Financial Securities.
Respondent Lawyers(s): George Katchmer
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | |
| 13-00116 | 06/10/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | |
| 12-02881 | 06/05/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Barry Axler
Respondent Lawyers(s): Marc Durant
Arbitrator(s): Allen Kilik, Gloria O. North, Soraya Maria Figueiredo
Hearing Site: Boca Raton, FL
| | |
| 12-02067 | 05/30/2014 | Claimant(s): Noble Financial Capital Markets
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Ascendiant Capital Markets, Ascendiant Securities
Respondent Lawyers(s): Brian A. Lebrecht
Arbitrator(s): Jack Stein, James D. McDonald, Steven M. Greenbaum
Hearing Site: Boca Raton, FL
| | |
| 12-02198 | 04/29/2014 | Claimant(s): Thomas Nelson
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Diane M. Perry, Robert Zelinka, Stephen Kahane
Hearing Site: Boca Raton, FL
| | Expungement |
