22-02215 | 04/26/2024 | Claimant(s): Gilda Scharf for her IRA, Stanley Scharf for his IRA, Stanley Scharf and Gilda Scharf Claimant Lawyers(s): Steven D. Toskes Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Keith Olin Arbitrator(s): Seth L. Finkel, Edward R. Niederriter, Carolyn E. Moore Hearing Site: Boca Raton, FL
| | Expungement |
21-02993 | 03/13/2023 | Claimant(s): Sheila Gambrel, The Jean O. King Trust Claimant Lawyers(s): Robert C. Stokes Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Lawton R. Graves Arbitrator(s): Richard S. Zaifert, Gary E. Marcus, Carolyn E. Moore Hearing Site: Tampa, FL
| | $0 |
17-03426 | 10/29/2018 | Claimant(s): Lesley Blackner, Richard Stone Claimant Lawyers(s): Sigmund S. Wissner-Gross Respondent(s): Benjamin Foster, James Ertmann, John Cregan Respondent Lawyers(s): Christopher Duffy Arbitrator(s): Cheryl E. Winton, Marie G. Peterson, Carolyn E. Moore Hearing Site: Boca Raton, FL
| | Expungement |
16-03269 | 02/28/2018 | Claimant(s): Bertram Tamarkin, Bernita Tamarkin Estate Tax Shelter, Bertram Tamarkin Trust U/A DTD Claimant Lawyers(s): Jared A. Levy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Stephan M. Louviere Arbitrator(s): Lawrence M. Green, Richard J. Kaplan, Carolyn E. Moore Hearing Site: Boca Raton, FL
| | Expungement |
14-02780 | 10/24/2017 | Claimant(s): Kwok Cheung Claimant Lawyers(s): Scott L. Silver Respondent(s): UBS Financial Services Inc., Roger Lam Respondent Lawyers(s): Alex J. Sabo Arbitrator(s): Will Murphy, Carolyn E. Moore, Richard S. Herman Hearing Site: Boca Raton, FL
| | Expungement |
14-02725 | 05/05/2017 | Claimant(s): Nattura CV Claimant Lawyers(s): G. Mark Brewer Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Stephen Kahane, Carolyn E. Moore, Lawrence C. Levey Hearing Site: Miami, FL
| | Expungement |
14-00151 | 12/15/2015 | Claimant(s): Eva C. Sarraga-Venegas, Ben. of Est. of, Jose F. Sarraga-Venegas, Exec/Ben.,Est., Laura I. Sarraga-Venegas, Ben. of Est. o Claimant Lawyers(s): Edward H. Glenn Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Keith Olin Arbitrator(s): Steven P. Gregory, Carolyn E. Moore, Alan M. Holzberg Hearing Site: San Juan, PR
| | Expungement |
09-00840 | 02/16/2010 | Claimant(s): John V.L. Parry & Susan M. Parry JTWROS, The Concetta V. Fearn Trust, The John & Susan Parry CR Trust Claimant Lawyers(s): John V.L. Parry Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Jernigan Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Janet N. Smiles, Marie G. Peterson, Carolyn E. Moore Hearing Site: Boca Raton, FL
| | $588 |
07-01049 | 10/30/2008 | Claimant(s): Helen Alpert Claimant Lawyers(s): Darren C. Blum Respondent(s): Byron Meads, Doria Sabia-Florence, John Wyllys, Max Manack, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Doria Sabia-Florence, Neil S. Baritz Arbitrator(s): Susan M. Dunning, William E. Schneider, Carolyn E. Moore Hearing Site: Boca Raton, FL
| | $370,290 |