| 21-03083 | 07/20/2022 | Claimant(s): Estate of Nicole B. Reuben
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Mark C. Perry, Richard W. Epstein, Mark David Hunter
Hearing Site: Boca Raton, FL
|  | Expungement |
| 20-01957 | 07/01/2021 | Claimant(s): Jerome Axelrod
Claimant Lawyers(s): Curtis D. Carlson
Respondent(s): SunTrust Investment Services., SunTrust Advisory Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Richard W. Epstein, Richard Kuper, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | $200,000 |
| 18-00048 | 01/21/2021 | Claimant(s): Ann Tutundjian, John Mugan, Susan Tutundjian-Mugan
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Meah Rothman Tell, Richard W. Epstein, Marvin S. Lava
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-00529 | 10/30/2018 | Claimant(s): Leigh Mielke & Mark S. Mielke
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Matthew Eckstein
Respondent Lawyers(s): Matthew Evan Eckstein
Arbitrator(s): Richard W. Epstein, Mark A Bilawsky, Ronald Stephen Robins
Hearing Site: Boca Raton, FL
| | $471,910 |
| 17-00867 | 03/14/2018 | Claimant(s): Dirk Rabenold
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): Kerry Montgomery, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Robert Rex
Arbitrator(s): Robert A. Sauerberg, Elena G. Rodriguez, Richard W. Epstein
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02282 | 05/29/2015 | Claimant(s): Kirsten Nielsen
Claimant Lawyers(s): Kirsten A. Nielsen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Richard W. Epstein, Carl Shechter, Edward Arthur Horton
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-03747 | 03/03/2015 | Claimant(s): Charlie Boyd
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Garden State Securities.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
| | $600 |
| 13-00910 | 08/19/2014 | Claimant(s): Claudia Goetz, Ralph Goetz
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Erin Botsford, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Brian A. Carlis, David C. Franceski
Arbitrator(s): Barth Satuloff, Richard W. Epstein, Joseph Benalt
Hearing Site: Boca Raton, FL
| | Expungement |
| 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 |
| 12-02627 | 09/05/2013 | Claimant(s): David Linsinbigler, Penny Linsinbigler
Claimant Lawyers(s): Alterraon Phillips
Respondent(s): LPL Financial LLC, Michael Linsinbigler, UVEST Financial Services Group.
Respondent Lawyers(s): Kathy M. Klock, Michael Thomas Linsinbigler
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
| | $16,380 |
