| 13-00505 | 06/10/2015 | Claimant(s): Adam M. Susser Special Needs Irrev. Trst
Claimant Lawyers(s): Leonard Haberman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Monica I. Salis, Will Murphy, Martin M. Van Luven
Hearing Site: Boca Raton, FL
|  | Expungement |
| 14-01072 | 02/12/2015 | Claimant(s): Efrosini Barish
Claimant Lawyers(s): Stephen D. Barish
Respondent(s): Park Avenue Securities LLC, Securian Financial Services.
Respondent Lawyers(s): Matthew D. Klafter, Neil S. Baritz
Arbitrator(s): Charles Hoffman
Hearing Site: Boca Raton, FL
| | $18,600 |
| 13-03029 | 06/20/2014 | Claimant(s): Christopher Raine
Claimant Lawyers(s): Christopher Howard Raine
Respondent(s): Brian Falabella, Donald Wojnowski
Respondent Lawyers(s): Dan Druz, Neil S. Baritz
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
| | $4,523 |
| 10-01816 | 11/26/2012 | Claimant(s): Carolyn Gilson
Claimant Lawyers(s): Jonathan Etra
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Bernard (Bob) L. Loring, Jerrold Levine, Daniel P. Lund
Hearing Site: Miami, FL
| | $367,055 |
| 10-03719 | 11/04/2011 | Claimant(s): Jack Beattie
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marc S. Piven, Marc T. Danon, Diana A. Weiner
Hearing Site: Orlando, FL
| | $230,000 |
| 10-02321 | 10/12/2011 | Claimant(s): Lillian Valinsky Revocable Trust
Claimant Lawyers(s): Leonard P. Haberman
Respondent(s): Michael Ryan, Prime Capital Services.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Harvey Alan Blicksilver, James Conrad Sankpill, Sidney Turner
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-05793 | 10/05/2011 | Claimant(s): Carl Cosio
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Rafael Calleja
Respondent Lawyers(s): Alise Johnson, Frederick S. Schrils, Neil S. Baritz
Arbitrator(s): Muriel Desloovere, William R. Turner, David F. Simon
Hearing Site: Tampa, FL
| | $248,874 |
| 10-00432 | 07/19/2011 | Claimant(s): Roberta Press Living Trust
Claimant Lawyers(s): Russell L Forkey
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Monica I. Salis, Joseph L. Bernstein, Jay Stewart Zeif
Hearing Site: Boca Raton, FL
| | $0 |
| 09-07122 | 05/11/2011 | Claimant(s): Gray Ingram
Claimant Lawyers(s): Scott J. Link
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marc T. Danon, Michael D Felton, Philip L. Manczak
Hearing Site: Boca Raton, FL
| | $600 |
| 10-00622 | 04/18/2011 | Claimant(s): John McMickle
Claimant Lawyers(s): John H. McMickle
Respondent(s): George Moler, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marie G. Peterson, Harvey Russell Preston, Doug Campbell
Hearing Site: Boca Raton, FL
| | $0 |
