| 22-01890 | 06/07/2024 | Claimant(s): The Revocable Trust of Declan P. Doogan
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Brian A. Briz
Arbitrator(s): Peter Shapiro, Lisa Jane Austein, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
|  | $0 |
| 23-00044 | 03/29/2024 | Claimant(s): Danielle Azadian
Claimant Lawyers(s): Lars Soreide
Respondent(s): Peter Janssen, Katalyst Securities Llc
Respondent Lawyers(s): Philip Kempisty, Walter J. Mathews
Arbitrator(s): Lita S. Menkin, Gia B. Compton, Jeffrey Alperin
Hearing Site: Atlanta, GA
| | $46,440 |
| 18-02235 | 12/21/2020 | Claimant(s): Carlos Scarano Garcia
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin, Peter Fruin, Roberto C. Quinones
Arbitrator(s): Richard Carl Smukler, Basheera-Alia James, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Settlement |
| 18-01674 | 10/27/2020 | Claimant(s): Julio Julia, Yvonne Battistini
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Popular Securities.
Respondent Lawyers(s): Alan M. Wolper, Keith Olin
Arbitrator(s): Monica I. Salis, Langfred W. White, Susan Ruth Levin
Hearing Site: San Juan, PR
| | $0 |
| 18-00218 | 12/10/2018 | Claimant(s): Mariana Smith
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Rafael Golan, Crystal Bay Securities Inc.
Respondent Lawyers(s): Cristopher S. Rapp
Arbitrator(s): Barth Satuloff, Les R. Campbell, Thomas Fred Meyer
Hearing Site: Boca Raton, FL
| | $192,599 |
| 13-02796 | 06/11/2015 | Claimant(s): Kelina Normil
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard J. Kaplan, Robert J. Buchner, Kimberlee Ann Fowler
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03340 | 12/24/2013 | Claimant(s): Renee Greenberg, Renee Greenberg Trust U/A DTD 3/21/02
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): John R. Pepe, Daniel P. Lund, Joseph John Mantione
Hearing Site: Orlando, FL
| | Expungement |
| 10-02976 | 06/21/2011 | Claimant(s): Bernard Moskowitz
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Jack Patterson, Raymond James Financial Services.
Respondent Lawyers(s): Kelli Bullington, Russell C. Weigel
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | Expungement |
| 08-04493 | 11/16/2009 | Claimant(s): Professional Properties Management Inc.
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Linda Greener, Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Steven N. Ainbinder, S. William Gersten, Scott Manker
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 08-01565 | 07/09/2009 | Claimant(s): Michael Greco, Salvatore Greco, Santo Greco, Cusano's Italian Bakery.
Claimant Lawyers(s): Walter J. Mathews, Walton S. Kinsey
Respondent(s): Empire Financial Group.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Stan West, Richard J. Kaplan, Dennis J. Levin
Hearing Site: Boca Raton, FL
| | $90,086 |
