| 23-00563 | 02/12/2024 | Claimant(s): Steven Katz
Claimant Lawyers(s): Kevin Paule
Respondent(s): Wells Fargo Clearing Services, Benjamin F. Edwards & Company.
Respondent Lawyers(s): Jason Kempf, Leo Peraza
Arbitrator(s): John G. Sciandra, Wendi Blake, Natalie Paskiewicz
Hearing Site: Tampa, FL
|  | Expungement |
| 21-02127 | 12/01/2022 | Claimant(s): Anthony Nowak, Anthony E. Nowak Rev. Trust
Claimant Lawyers(s): Robert Savage
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Gayle B. Carlson, John G. Sciandra, Mark Joseph Mugnaini
Hearing Site: Tampa, FL
| | $11,658,100 |
| 21-00312 | 02/16/2022 | Claimant(s): Patrick Ridgeway
Claimant Lawyers(s): Lance McCardle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Stuart K. Furman, Alan E. Linden, John G. Sciandra
Hearing Site: Jackson, MS
| | $1,100,000 |
| 16-02549 | 02/12/2021 | Claimant(s): Guillermo Lopez Perez
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): OFS Securities., Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): John G. Sciandra, Robert Sullivan Tyler, Erika Deutsch Rotbart
Hearing Site: San Juan, PR
| | $240,000 |
| 17-00305 | 10/27/2017 | Claimant(s): Virginia Nourie, Shane Nourie Custodial Account
Claimant Lawyers(s): Guy M. Burns
Respondent(s): Bruce Cameron, RBC Capital Markets LLC
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Donald Glen Russell, John G. Sciandra, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | $723,355 |
