| 21-03069 | 06/29/2023 | Claimant(s): Mark Mills
Claimant Lawyers(s): Thomas C Allison
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, S. Ronald Daniels, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
|  | $10,440 |
| 20-01130 | 08/15/2022 | Claimant(s): Michline Saad
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Maria Calcena, Ocean Financial Services
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): S. Ronald Daniels, Robert G. Falbisaner, Mark A. Jacoby
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-01732 | 05/09/2022 | Claimant(s): Fortezza Investments, L.P.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): S. Ronald Daniels, Christopher E. Benjamin, Steven Moore
Hearing Site: Boca Raton, FL
| | $0 |
| 16-03072 | 11/06/2019 | Claimant(s): Michael Pallotta, Neil Marcus, Neil J. Marcus, Trustee for the, Arthur C. Licchillo U/A dtd 11/5/97
Claimant Lawyers(s): Charles C. Mihalek, Stephen S. Stallings
Respondent(s): Ross, Sinclaire & Associates
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Steven Gerard Goerke, S. Ronald Daniels, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | $2,110,540 |
| 18-02840 | 07/18/2019 | Claimant(s): Melrose Whittaker
Claimant Lawyers(s): Melrose Endolyn Whittaker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Wiley
Arbitrator(s): Bruce K. Isenberg, S. Ronald Daniels, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $0 |
| 16-01153 | 04/15/2019 | Claimant(s): Kenneth Lieblein, Robin Lieblein, Kenneth R. Lieblein Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Larry Wolfe, Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman, Larry C. Wolfe
Arbitrator(s): Patricia Morin, Michael J. Quarequio, S. Ronald Daniels
Hearing Site: Boca Raton, FL
| | $510,600 |
