| 23-01288 | 10/03/2024 | Claimant(s): Elizabeth Deluca, Louis Deluca, UBS.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): John B. Sochacki, Stephanie Jeannette Charny, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
|  | $14,266,100 |
| 20-01873 | 04/25/2023 | Claimant(s): Concert Capital Limited
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Martin A. Feigenbaum, Stephanie Jeannette Charny, Stephen Robert Tiernay
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12212 |
| 21-00429 | 01/31/2022 | Claimant(s): Lisbeth Brod
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Paul J. Burkhart, Stephanie Jeannette Charny, Victor Bernard Gent
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-00522 | 12/22/2020 | Claimant(s): Gerald S. Backman 2007 Revocable Trust,
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Gary M. Landau, Christopher J. Klein, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | $90,050 |
| 18-00620 | 04/08/2019 | Claimant(s): Ronald Bauer
Claimant Lawyers(s): William Scott Turnbull
Respondent(s): Wells Fargo Clearing Services, Steven Sklover
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Bernice Leah Stander, Linda M. Foster-Wells, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02188 | 06/02/2015 | Claimant(s): John A. Imperato
Claimant Lawyers(s): John A. Imperato
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Marie G. Peterson, Philip L. Manczak, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | $1,425 |
