| 12-01538 | 01/17/2014 | Claimant(s): Elliott Rosenzweig
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Steven Gerard Goerke, Richard W. Epstein, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
|  | Expungement |
| 12-03711 | 12/20/2013 | Claimant(s): Barbara Gutman U/A/D 03-09-2000
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy Atkins
Arbitrator(s): Marie G. Peterson
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-04052 | 09/09/2013 | Claimant(s): The John L. Mogensen Living Trust
Claimant Lawyers(s): Stephany McLaughlin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Colleen M. Fitzgerald
Arbitrator(s): Gary M. Landau, Jill Pilgrim, Kenneth Herbert Mitchell
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 13-00550 | 08/13/2013 | Claimant(s): Mustafa Albassam
Claimant Lawyers(s): Mustafa Albassam
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Ellen J. Abrams
Hearing Site: Ft. Lauderdale, FL
| | $13 |
| 12-03710 | 07/29/2013 | Claimant(s): John Smith
Claimant Lawyers(s): John Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Herbert Branitsky, Ellen J. Abrams, Stephen R. Facella
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-02626 | 07/24/2013 | Claimant(s): David Broadwell, David W. Broadwell Revocable Trust
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Gerald Silverman
Hearing Site: Ft. Lauderdale, FL
| | $56,625 |
| 11-03109 | 07/23/2013 | Claimant(s): Lincoln Mendez
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Joseph L. Bernstein
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-03253 | 07/17/2013 | Claimant(s): Jaimie Flack, William Flack
Claimant Lawyers(s): Jaimie G. Flack
Respondent(s): Morgan Stanley, Robert Ennis, Sheryl Zuckerman
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Robert A. Sauerberg
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 11-03244 | 05/31/2013 | Claimant(s): Robert Adams
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Monica I. Salis
Hearing Site: Ft. Lauderdale, 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 |
