| 19-02039 | 12/04/2023 | Claimant(s): Gables Capital Management.
Claimant Lawyers(s): Jeffrey T. Foreman
Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, INTL FCStone Financial.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Barth Satuloff, Paul B. Glantz, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
|  | Expungement |
| 18-02134 | 10/05/2023 | Claimant(s): Rocky Vista University, Yife Tien Irrevocable Dynasty Trust
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, Intl Fcstone Financial Inc.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Meah Rothman Tell, Seth L. Finkel, Nanci Sondra Landy
Hearing Site: Miami, FL
| | $0 |
| 21-01548 | 01/31/2023 | Claimant(s): Andres Rodriguez Martin
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ocean Financial Services
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Will Murphy, Michael D Felton, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-02547 | 10/07/2022 | Claimant(s): Scott Reynolds, SRR Fortress Capital
Claimant Lawyers(s): Adam Ford
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Henry Perdue, Nanci Sondra Landy, Arlene Simon Backman
Hearing Site: Boca Raton, FL
| | $0 |
| 20-01439 | 08/26/2021 | Claimant(s): Linda Jaremback, Michael Jaremback
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nanci Sondra Landy, Erika Deutsch Rotbart, Robert Stanley Zack
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-04274 | 04/29/2020 | Claimant(s): Ronald Carlson
Claimant Lawyers(s): Ronald N. Carlson
Respondent(s): Wells Fargo Clearing Services, Prudential Annuities Distributors.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Paul Weinberg, Joseph Benalt, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | $0 |
| 18-00264 | 11/07/2019 | Claimant(s): Guillermo Castro
Claimant Lawyers(s): Michael S. Taafe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Leslie L. Cooney, Will Murphy, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206/12504 |
| 17-00948 | 10/30/2018 | Claimant(s): Estate of Carol Stein
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Andrea R. Jacobs, Mark A Bilawsky, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | $44,224 |
| 15-03361 | 09/25/2018 | Claimant(s): Javier Melendez
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Adriana Pineiro, Morgan Stanley, Jorge Dalati, Luis Gonzalez Ocque, Miguel Gonzalez Ocque
Respondent Lawyers(s): Jaime Guttman, Jorge A. Mestre
Arbitrator(s): Martin A. Feigenbaum, Michael T. Williams, Nanci Sondra Landy
Hearing Site: Miami, FL
| | $0 |
| 12-03600 | 08/13/2014 | Claimant(s): Stephen Fleischer
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Richard J. Kaplan, Nanci Sondra Landy, Donna Greenspan Solomon
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
