12-03975 | 04/23/2014 | Claimant(s): Barbara Unger, Barbara J. Unger Rev. Trust dtd 12/20/02 Claimant Lawyers(s): Marc S. Dobin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Keith Olin Arbitrator(s): Janet N. Smiles, Stuart Harvey Ziegler, David Rich Hearing Site: Boca Raton, FL
| | Expungement |
12-01845 | 10/04/2013 | Claimant(s): Herbert Kava Claimant Lawyers(s): Jeffrey Erez Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz, Senior Counsel Arbitrator(s): Stuart Harvey Ziegler, Scott Manker Hearing Site: Boca Raton, FL
| | $0 |
09-03972 | 04/20/2012 | Claimant(s): Peter Graham Lee & Jennifer Patricia Lee Claimant Lawyers(s): Steven D Toskes Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Matthew E. Wolper Arbitrator(s): Berthold T. Berkwich, Harold S. Stern, Stuart Harvey Ziegler Hearing Site: Boca Raton, FL
| | $0 |
09-02018 | 09/13/2010 | Claimant(s): Donna Appleby Claimant Lawyers(s): Scott D. Hirsch Respondent(s): Bruce Pomerantz, Wachovia Securities Respondent Lawyers(s): Matthew E. Wolper, Robert A. W. Boraks Arbitrator(s): Susan M. Dunning, Stuart Harvey Ziegler, Walter A. Bajak Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
09-03418 | 05/19/2010 | Claimant(s): Natalie Schwarz, Natalie Schwarz Trust, Residual Trust U/W/O Norman Schwarz Claimant Lawyers(s): Richard A. Stephens Respondent(s): Sanford C. Bernstein & Co. Respondent Lawyers(s): Tommaso Bencivenga Arbitrator(s): Carlos E. Ayala, Stuart Harvey Ziegler, Bart Samuel Cohodas Hearing Site: Boca Raton, FL
| | $0 |
09-00383 | 02/04/2010 | Claimant(s): JNG Consulting LLC Claimant Lawyers(s): Seth Huberman Respondent(s): Albert Poliak, Douglas Kaiser, Frank Salvatore, Robert Keyser, Thomas Field, Thomas Hands, William Fox, Dawson James Securities. Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Steven Gerard Goerke, Kathy N. Novick, Stuart Harvey Ziegler Hearing Site: Boca Raton, FL
| | Expungement |
09-02077 | 01/08/2010 | Claimant(s): Mark Kielar, Tammy Kielar, ACTS Capital Investments Claimant Lawyers(s): Scott J. Link Respondent(s): Alterna Capital Corp. Respondent Lawyers(s): Sara Soto Arbitrator(s): Stuart Harvey Ziegler, Sydney E. Blum, Stephen Farquhar Adams Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
08-01333 | 06/03/2009 | Claimant(s): Philip Richardson Revocable Trust Claimant Lawyers(s): Jeffrey Erez Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Joshua D. Jones Arbitrator(s): Marc S. Piven, Thomas Anthony Van Tiem, Stuart Harvey Ziegler Hearing Site: Boca Raton, FL
| | $431,000 |
08-00597 | 12/15/2008 | Claimant(s): Nigel Roth Claimant Lawyers(s): Steven J. Gard Respondent(s): Donald Wojnowski, Empire Financial Group. Respondent Lawyers(s): Joshua A. Katz Arbitrator(s): Stuart Harvey Ziegler, Les R. Campbell, Theodore Israel Herold Hearing Site: Boca Raton, FL
| | $0 |
07-02881 | 07/18/2008 | Claimant(s): John Rapillo Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): TD Ameritrade., Mikhael Halper Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Donald S. Tuck, Richard S. Zaifert, Stuart Harvey Ziegler Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |