| 11-03111 | 03/06/2013 | Claimant(s): Nancy Thomas, Nancy K. Thomas Revocable Trust U/A/D 97
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Lawrence Goldberg, Donald Theodore Ryce, Harris Gally
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-03507 | 12/21/2012 | Claimant(s): Joan R. Stiles Trust u/a dtd 2/28/1991, William H. Stiles Trust u/a dtd 2/28/91
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Richard S. Zaifert, Bruce K. Isenberg, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02198 | 11/27/2012 | Claimant(s): Anita P. Hamburg, Anita P. Hamburg Revocable Living Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Bruce K. Isenberg, Ralph H. Emer, Howard Bernstein
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00087 | 10/30/2012 | Claimant(s): Marvin Adler, Theda Adler, The Theda Adler Trust U/A/D 1/15/97
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau, Randi Perry Spallina
Arbitrator(s): Kalman J. Lester, William Kent Brown, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-01078 | 09/06/2012 | Claimant(s): Donald Aronowitz
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Bernard Kornmehl
Arbitrator(s): James W. Geiger, Gustavus L. Pearthree, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-05719 | 06/27/2012 | Claimant(s): Paul Cohnen A/R Family Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Douglas McPherson, J.P. Morgan Securities, Michael Kilkeary
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Frances D. Sheehy, Harvey Alan Blicksilver, Harold S. Stern
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05157 | 06/11/2012 | Claimant(s): Linda Bassin Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Norry Luria, FMS Bonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Linda M. Granata, Richard S. Zaifert, Michael T. Williams
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 09-06361 | 05/17/2012 | Claimant(s): The Estate of George T. Arns, The Arns Family Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Frank Delli Carpini, Pershing LLC, UBS Financial Services Inc., Belle Haven Investments, L.P.
Respondent Lawyers(s): Amy B. Bard, Garry Lischin, Matthew Tracy
Arbitrator(s): Kinchen C. Bizzell, Saul Scheier, Ellyn S. Roth
Hearing Site: New York, NY
| | Expungement |
| 10-04897 | 05/15/2012 | Claimant(s): Jodi Simensky, Rosalee Simensky, Stephen Simensky, Stephen and Rosalee Simensky JTWROS, Rosalee Simensky Rev Trust, The Stephen Simensky Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wesley Holston
Arbitrator(s): Lawrence M. Green, Steven N. Ainbinder, Myron E. Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 08-04763 | 06/16/2011 | Claimant(s): Steven L. West & Judith West Jt Rev Tr
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): James Shawver, William Isaacson, Newbridge Securities Corporation
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Robert H. Hagan, David P. Slater, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
