| 23-02658 | 04/05/2024 | Claimant(s): Tyson Lewis
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 23-02132 | 03/11/2024 | Claimant(s): Shmuel Maya
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Kimberly A. Gilmour, Adam Lawrence Frankel, Samuel Adam Katz
Hearing Site: Boca Raton, FL
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| 22-02352 | 05/05/2023 | Claimant(s): Jonathan Beitler
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Raymond James Financial Services., FSC Securities Corporation
Respondent Lawyers(s): James Noblett, Laura Ruiz Rivera
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 19-02755 | 11/30/2022 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): John Carroll
Respondent Lawyers(s): John Francis Carroll
Arbitrator(s): Kimberly A. Gilmour, Dennis J. Levin, Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 21-03037 | 08/18/2022 | Claimant(s): Barbra Shaffer
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Kimberly A. Gilmour, Rosemarie Ann Jannuzzi, John S. Leech
Hearing Site: Boca Raton, FL
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| 22-00987 | 08/02/2022 | Claimant(s): Trevor Fried
Claimant Lawyers(s): Amrit P Singh
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 21-02027 | 01/27/2022 | Claimant(s): Paul DiPietro
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 20-03085 | 11/12/2021 | Claimant(s): Samuel Izaguirre
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Chase Investment Services Corp.
Respondent Lawyers(s): Michael A. Gross, Sara B. Davis
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 18-03403 | 08/10/2021 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Andrew Froman
Respondent(s): Veronica Gillotte
Respondent Lawyers(s): Veronica Gillotte
Arbitrator(s): Kimberly A. Gilmour, Susan M. Dunning, Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 20-02148 | 06/23/2021 | Claimant(s): Jason Stephens
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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