| 22-00468 | 12/21/2022 | Claimant(s): Barbara Michaels
Claimant Lawyers(s): Bruce H. Bergen
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
|  | $5,566 |
| 20-01399 | 06/08/2022 | Claimant(s): Dana King
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): LPL Financial LLC, Bryan Shevak
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nancy J. Cliff, Daniel H. Yaffe, Gloria O. North
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-02466 | 02/08/2022 | Claimant(s): Kathleen Riordan, MSSB C/F Kathleen Olvany Riordan
Claimant Lawyers(s): John Olvany
Respondent(s): J. Shepard
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Gloria O. North, Robert Lawrence Ostrov, Virginia Lee Perez-Berry
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-01134 | 10/28/2021 | Claimant(s): Juan Trinidad-Garcia, Juan Felix Trinidad-Rodriguez
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Langfred W. White, Gloria O. North, Jane A. Smith
Hearing Site: San Juan, PR
| | $6,876,100 |
| 20-02218 | 06/23/2021 | Claimant(s): Gregory Zeifman
Claimant Lawyers(s): David C. Silver
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Joseph A. Vallo, Martin A. Feigenbaum, Gloria O. North
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-01630 | 02/22/2021 | Claimant(s): Manuel Diaz
Claimant Lawyers(s): Luis E. Minana
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Carlos Bobonis-Gonzalez
Arbitrator(s): Gloria O. North, Howard B. Scherer, Brian James Tagtmeier
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206(a) |
| 20-01757 | 10/05/2020 | Claimant(s): Javier Hernan Fuxman, Marcela Fuxman
Claimant Lawyers(s): Brian Levin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
| | $35,416 |
| 17-01969 | 10/01/2018 | Claimant(s): George Mattson, GNM ICBC
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Tibor L. Nagy
Arbitrator(s): Gloria O. North, Daniel Joseph Chiodo, Ronald W. Weissman
Hearing Site: Boca Raton, FL
| | $0 |
| 13-00263 | 05/19/2017 | Claimant(s): Dayna Bolera, Thomas Bolera
Claimant Lawyers(s): Leonard P. Haberman
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Joseph M. Callow
Arbitrator(s): Gloria O. North, Ilisa J. Smukler, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $0 |
| 15-02896 | 01/04/2017 | Claimant(s): Stanley Kebe
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): David Horonzy, Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel E.. Cohen
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
| | Expungement |
