| 14-01282 | 02/04/2015 | Claimant(s): Robert Goard
Claimant Lawyers(s): Robert W. Goard
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
|  | $0 |
| 13-02190 | 11/03/2014 | Claimant(s): JZ Family Partnership Limited, LTD, The Jerome Zimmerman Personal Trust
Claimant Lawyers(s): Steven M Katzman
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Mark C. Perry, Myron E. Levenson, Stephen Kahane
Hearing Site: Boca Raton, FL
| | $0 |
| 12-03564 | 10/17/2013 | Claimant(s): Apostle Solomon
Claimant Lawyers(s): Randall C. Place
Respondent(s): Adam Rosenfeld, Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge, Richard L. Martens
Arbitrator(s): Mark C. Perry, Edward R. Niederriter, Ken Ziesenheim
Hearing Site: Miami, FL
| | Expungement |
| 12-02899 | 05/14/2013 | Claimant(s): Michael Reilly, Trustee of The Reilly
Claimant Lawyers(s): Teresa J. Verges
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Mark C. Perry, Steven A. Hurst, Monroe Mitchel
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02677 | 04/30/2013 | Claimant(s): Purnima Shah
Claimant Lawyers(s): W. Barry Blum
Respondent(s): BBVA Securities Of Puerto Rico.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Mark C. Perry, Nancy J. Cliff, Abigail Falcon-Rosa
Hearing Site: San Juan, PR
| | $212,705 |
| 12-01938 | 11/16/2012 | Claimant(s): Nataraj Buduguntae
Claimant Lawyers(s): Nataraj S. Buduguntae
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Mark C. Perry
Hearing Site: Miami, FL
| | $0 |
| 10-05795 | 10/22/2012 | Claimant(s): Claribel Fraguada
Claimant Lawyers(s): Marie E. Lopez Adames
Respondent(s): Ramon Dominguez Thomas, RD Capital Group.
Respondent Lawyers(s): Luis Sanchez Betances
Arbitrator(s): Mark C. Perry, Todd M. Saunders, Armando E. Ramirez Vivoni
Hearing Site: San Juan, PR
| | $0 |
| 11-04205 | 09/04/2012 | Claimant(s): Jerry Stiffel
Claimant Lawyers(s): Jerry Stiffel
Respondent(s): First Southwest Company
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): Mark C. Perry, John J. Phelan, Myron S. Dunay
Hearing Site: Boca Raton, FL
| | $0 |
| 11-02032 | 08/10/2012 | Claimant(s): Blanca Burgos-Fernandez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Popular Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Mark C. Perry, Reinaldo Royo, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
| | $36,977 |
| 11-01969 | 06/14/2012 | Claimant(s): Susan Mohseni
Claimant Lawyers(s): Younes Mohseni
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | $0 |
