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FINRA Awards for Neil S. Baritz

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Displaying 11-20 out of 50 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0139906/08/2022Claimant(s): Dana King
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): LPL Financial LLC, Bryan Shevak
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nancy J. Cliff, Daniel H. Yaffe, Gloria O. North
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
20-0421003/30/2022Claimant(s): Nathan Edwards
Claimant Lawyers(s): Nathan Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mitchel Weiss, Brian Michael Kane, Mary Ann Etzler
Hearing Site: Jacksonville, FL
Checkmark Icon$0
19-0028211/22/2021Claimant(s): Teena Clifton
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Koss, Olinger and Company
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Pamela Jeanne Rush, Gayle B. Carlson, Brian Michael Kane
Hearing Site: Jacksonville, FL
Checkmark Icon$237,553
18-0381609/27/2021Claimant(s): Elizabeth Snyder, Linkster Holding, Elizabeth Snyder IRA, Elizabeth B. Snyder Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Barry Snyder, Montecito Advisors.
Respondent Lawyers(s): Elie Genadry, Neil S. Baritz
Arbitrator(s): Sidney J. Wartel, Andrea R. Jacobs, Stephen John Gohlke
Hearing Site: Boca Raton, FL
Checkmark Icon$2,554,900
20-0143908/26/2021Claimant(s): Linda Jaremback, Michael Jaremback
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nanci Sondra Landy, Erika Deutsch Rotbart, Robert Stanley Zack
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
19-0051904/08/2021Claimant(s):
Claimant Lawyers(s):
Respondent(s): TD Ameritrade., Purshe Kaplan Sterling Investments
Respondent Lawyers(s): Neil S. Baritz, Sanay B. Panchal
Arbitrator(s): Richard D. Fincher, Delores Manwar, Kenneth Layne Morrill
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
19-0083412/09/2020Claimant(s): Barbara Ringwalt, David Ringwalt, Hope Yonge, Jolante Kahnt, Nancy Fetzer, Peter Prowalny, Wes Fetzer
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Robert Halldin, American Portfolios Financial Services,
Respondent Lawyers(s): Neil S. Baritz, Robert James Halldin
Arbitrator(s): Kenneth R. Starr, Philip L. Manczak, Natalie Paskiewicz
Hearing Site: Tampa, FL
Checkmark Icon$0
20-0088808/11/2020Claimant(s): Theodore Ritota
Claimant Lawyers(s): Theodore C. Ritota
Respondent(s): James Viets, Micah Inman
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Henry Perdue
Hearing Site: Boca Raton, FL
Checkmark Icon$0
18-0317005/21/2020Claimant(s): Arlene Dixon, Sherman Salovitz
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Marcus Berger, Investors Capital Corp.
Respondent Lawyers(s): Benjamin J. Biard, Neil S. Baritz
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
Checkmark Icon$0
19-0116305/07/2020Claimant(s): Sandra Dannenberg
Claimant Lawyers(s): Lars Soreide
Respondent(s): Oppenheimer & Co.., Sean Rooney
Respondent Lawyers(s): John T. McGuire, Neil S. Baritz
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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