| 19-02820 | 11/11/2020 | Claimant(s): Stanley & Millicent Barasch Living Trust
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Crystal Bay Securities.
Respondent Lawyers(s): Rafael Golan
Arbitrator(s): Rosemarie Ann Jannuzzi, Robert J. Buchner, Magda M. Fernandez Torres
Hearing Site: Boca Raton, FL
|  | $1,351,180 |
| 15-00802 | 06/25/2019 | Claimant(s): Frederick Blake
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Anthony Fusco, Bernardo Misseri, Brian Decker, Steven Meyer, Legend Securities.
Respondent Lawyers(s): Anthony Fusco, Bernardo Misseri, Brian K. Decker, Salvatore C. Caruso, Steven J. Meyer
Arbitrator(s): Edward R. Niederriter, Mark I. Roth, Robert J. Buchner
Hearing Site: Boca Raton, FL
| | $967,008 |
| 16-03545 | 11/07/2017 | Claimant(s): Michelle Feins Rev. Trust
Claimant Lawyers(s): Martin Feins
Respondent(s): Goldman, Sachs and Company, Citadel Securities LLC, Cutler Group
Respondent Lawyers(s): Doug Patterson, Evan Stewart, Michael G. Felty
Arbitrator(s): Robert J. Buchner
Hearing Site: Boca Raton, FL
| | $9,400 |
| 14-00730 | 09/01/2017 | Claimant(s): Enrique Freiria
Claimant Lawyers(s): Normarie Rodriguez Perez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Robert J. Buchner, Susan G. Pinkston, Joseph Michael Librie
Hearing Site: San Juan, PR
| | Expungement |
| 13-03520 | 02/17/2017 | Claimant(s): Luis Romero Lopez, Luis R. Romero Lopez Pledged Collateral
Claimant Lawyers(s): Luis J. Acevedo-Bengoechea, Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones-Rivera
Arbitrator(s): Joyce F. Glucksman, Reinaldo Royo, Robert J. Buchner
Hearing Site: San Juan, PR
| | $10,000,000 |
| 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 |
| 12-01357 | 11/06/2013 | Claimant(s): Thomas B. Weigand and Irene M. Weigand
Claimant Lawyers(s): Ronald M. Rowars
Respondent(s): Christopher Sinkula, Citigroup Global Markets., Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner, Sean J. Coughlin
Arbitrator(s): James A. Collins, Robert J. Buchner, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03927 | 05/29/2013 | Claimant(s): Linda Rupp, Russell Rupp
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Robert J. Buchner, Philip L. Manczak, Kenneth Herbert Mitchell
Hearing Site: Ft. Lauderdale, FL
| | $735,367 |
| 11-01335 | 01/07/2013 | Claimant(s): Catherine Cox, William Cox, William E. Cox Irrevocable Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Mauricio Arcadier, Robert J. Buchner, Scott Louis Fishman
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-01817 | 11/11/2010 | Claimant(s): Karl Cross
Claimant Lawyers(s): Christopher M. David
Respondent(s): E*Trade Securities LLC, Robert Russini
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): Herbert Branitsky, Robert J. Buchner, Les R. Campbell
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
