| 12-02796 | 03/28/2013 | Claimant(s): IAA Financial
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Nicolas Libertella
Respondent Lawyers(s): Nicolas Rocco Libertella
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
| | |
| 12-01510 | 03/21/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Lawrence Schnurmacher
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): George J. Blutstein
Hearing Site: Boca Raton, FL
| | |
| 12-02648 | 03/13/2013 | Claimant(s): James Rubinton
Claimant Lawyers(s): Jonathan C Schwartz
Respondent(s): Franklin Neves, John Corris, Lisa Neves
Respondent Lawyers(s): Robert J. Pearl
Arbitrator(s): Mary H. Cory, Kimberly A. Gilmour, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03827 | 01/18/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Donald Novell
Respondent Lawyers(s): Donald F. Novell
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
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| 12-01465 | 01/07/2013 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Anthony Fisher
Respondent Lawyers(s): Anthony John Fisher
Arbitrator(s): Stan West, Robert S. Natiss, Peter A. Cartwright
Hearing Site: Boca Raton, FL
| | |
| 12-00421 | 12/18/2012 | Claimant(s): Baerbel O'Haire, Joseph Fessler
Claimant Lawyers(s): Robert C. Harris
Respondent(s): James Gray, Kaye Gray
Respondent Lawyers(s): James Brian Gray, Kaye M. Gray
Arbitrator(s): Frances D. Sheehy, Kathy N. Novick, Sherry Puro
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-05717 | 11/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): James Cruz
Respondent Lawyers(s): James L. Cruz
Arbitrator(s): Ilisa J. Smukler
Hearing Site: Boca Raton, FL
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| 11-00037 | 11/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan Levine
Respondent(s): Susan Monahan
Respondent Lawyers(s): Mellany Marquez-Kelly
Arbitrator(s): Paul W. Sterman
Hearing Site: Boca Raton, FL
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| 12-01437 | 11/19/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Charles Pfeiffer
Respondent Lawyers(s): Charles Pfeiffer
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | |
| 12-00098 | 11/16/2012 | Claimant(s): VCG Securities
Claimant Lawyers(s): Robert H. Fasulo, General Counsel
Respondent(s): Viewpoint Securities
Respondent Lawyers(s): Seth Leyton, Managing Member
Arbitrator(s): Marc S. Piven, Alexander I. Heckman, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
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