| 22-01356 | 08/22/2023 | Claimant(s): Fondo De Inversion Privado FRC, Inversiones Don Fernando Spa
Claimant Lawyers(s): Jason P. Gottlieb
Respondent(s): CGIS Securities LLC
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): William Kent Brown, Ellen J. Abrams, Michael Adam Gross
Hearing Site: Boca Raton, FL
|  | $0 |
| 21-02354 | 06/09/2023 | Claimant(s): Reid Nagle Revocable Trust
Claimant Lawyers(s): John Fialcowitz
Respondent(s): Charles Schwab & Co.., Rockingstone Advisors
Respondent Lawyers(s): Gordon C. Young, John Fialcowitz
Arbitrator(s): Ellen J. Abrams, Carl Henry Perdue, Mark E. English
Hearing Site: Boca Raton, FL
| | $0 |
| 19-01163 | 05/07/2020 | Claimant(s): Sandra Dannenberg
Claimant Lawyers(s): Lars Soreide
Respondent(s): Oppenheimer & Co.., Sean Rooney
Respondent Lawyers(s): John T. McGuire, Neil S. Baritz
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | $0 |
| 18-00915 | 12/14/2018 | Claimant(s): Herbert Moskowitz & Marilyn Moskowitz
Claimant Lawyers(s): Herbert Moskowitz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): William Kent Brown, Ellen J. Abrams, Marvin S. Lava
Hearing Site: Boca Raton, FL
| | $75,000 |
| 17-00826 | 11/08/2018 | Claimant(s): Adam Franzen
Claimant Lawyers(s): Rosemary Cooney
Respondent(s): Daniel King, Frank Fusco, Michael Stanton, Legend Securities.
Respondent Lawyers(s): Frank P. Fusco, Michael S. Stanton, Ross J. Kartez, Salvatore C. Caruso
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | $0 |
| 16-00776 | 08/07/2018 | Claimant(s): Gwendolyn Denton
Claimant Lawyers(s): Gwendolyn Denton
Respondent(s): Morgan Stanley, Pilar Estrella
Respondent Lawyers(s): Kim J. Gustafson
Arbitrator(s): Monroe Mitchel, Ellen J. Abrams, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | $0 |
| 15-00695 | 07/01/2016 | Claimant(s): George Murphy & Cheryl Murphy
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Ameriprise Financial Services., Joseph Grund
Respondent Lawyers(s): Gerry A. Giurato, Niels P. Murphy
Arbitrator(s): Ellen J. Abrams, Sonja Shuford
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-02020 | 06/03/2016 | Claimant(s): Joel Pironti
Claimant Lawyers(s): Joel Pironti
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-01192 | 06/05/2015 | Claimant(s): Andrew Schmoyer, Daniel David, Darrin Boorse, Dawn Southern, Janine Paillard, Jerry Southern, John David, Olivia Flemming, Zou Soueidan
Claimant Lawyers(s): Michael Hill
Respondent(s): E*Trade Securities LLC, E*trade Clearing LLC
Respondent Lawyers(s): Burton Wiand
Arbitrator(s): Ellen J. Abrams, Robert G. Geeseman, Milton Thurm
Hearing Site: Boca Raton, FL
| | $0 |
| 13-01599 | 08/07/2014 | Claimant(s): Billie La Violette, Gary Zack, Jennifer Bernard-Zack, Robert La Violette
Claimant Lawyers(s): Carl F. Schoeppl
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): Debra A. Jenks, James M. Scutti, Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | $485,124 |
