12-03078 | 07/01/2014 | Claimant(s): John S. Walker IRA Claimant Lawyers(s): Robert H. Rex Respondent(s): LPL Financial LLC Respondent Lawyers(s): Amanda C. Hawley Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ
| | Expungement |
13-00452 | 05/02/2014 | Claimant(s): Carluco Investments Limited Claimant Lawyers(s): Robert H. Rex Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Cory S. Zadanosky Arbitrator(s): Carl Shechter, Steven E. Eisenberg, James Michael LaBonte Hearing Site: Boca Raton, FL
| | Expungement |
12-00643 | 05/29/2013 | Claimant(s): Christina Beyerle, Ernst Beyerle Claimant Lawyers(s): Robert H. Rex Respondent(s): Bryan Wiedersum, David Arlein, Jeffrey Sanders Respondent Lawyers(s): S. Jonathan Vine Arbitrator(s): Myron S. Dunay, Kimberly A. Gilmour, Harvey Alan Blicksilver Hearing Site: Boca Raton, FL
| | Expungement |
12-00569 | 02/06/2013 | Claimant(s): Richard Fisher Claimant Lawyers(s): Robert H. Rex Respondent(s): Edward Jones Respondent Lawyers(s): Dennis J. Capriglione Arbitrator(s): Steven Gerard Goerke, Marc T. Danon, Richard S. Herman Hearing Site: Boca Raton, FL
| | Expungement |
10-03322 | 12/05/2012 | Claimant(s): Leonard Zisman, Susan Eichler, Estate of Sylvia Zisman, Sylvia Zisman Revocable Liv Trust No. 2, Sylvia Zisman Revocable Living Trust Claimant Lawyers(s): Robert H. Rex Respondent(s): LPL Financial LLC, Kathy Busch, Global Planning. Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Robert H. Nelson, Gayle B. Carlson, Joseph John Mantione Hearing Site: Orlando, FL
| | Expungement |
09-06457 | 02/22/2012 | Claimant(s): Robert Locher Claimant Lawyers(s): Robert H. Rex Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Holly J. Sutton Arbitrator(s): Linda M. Granata, James W. Geiger, Jeanne Charles Wood Hearing Site: Boca Raton, FL
| | Expungement |
10-04000 | 06/10/2011 | Claimant(s): Irvin Robbins Rev Trust U/A/D 9/16/91 Claimant Lawyers(s): Robert H. Rex Respondent(s): Investors Capital Corp. Respondent Lawyers(s): James A McGovern Arbitrator(s): Cindy L. Anderson Hearing Site: Jacksonville, FL
| | $31,053 |