| 20-01547 | 07/20/2021 | Claimant(s): Ameriprise Financial Services, American Enterprise Investment Services
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Mariam Silverman, M Silverman Living Trust dated 12/5/18
Respondent Lawyers(s): Jeffrey Kaplan
Arbitrator(s): David P. Slater, Richard J. Kaplan, Alessandra Piras Torrens
Hearing Site: Boca Raton, FL
|  | $0 |
| 18-04085 | 03/02/2020 | Claimant(s): Cathy Mina, IRA, Louis Mina IRA, Cathy R. Mina, Rev. Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Gary M. Landau, David P. Slater, Robert Stanley Zack
Hearing Site: Boca Raton, FL
| | $0 |
| 18-00317 | 09/12/2018 | Claimant(s): Gail Schneider, Gail Schneider IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-01700 | 05/14/2018 | Claimant(s): Eugene Sessa
Claimant Lawyers(s): Lars Soreide
Respondent(s): Spencer Laufer, J.H. Darbie & Co..
Respondent Lawyers(s): Lawrence R. Gelber, Spencer David Laufer
Arbitrator(s): David P. Slater, Perry Earl Phillips, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | $100,300 |
| 17-00788 | 12/01/2017 | Claimant(s): Claire Greenberg
Claimant Lawyers(s): Claire Greenberg
Respondent(s): Henry Scheuer
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-02580 | 04/28/2017 | Claimant(s): Clifford Allenby
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): David P. Slater, Will Murphy, Andrew Michael Bonderud
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-03491 | 09/09/2016 | Claimant(s): Athalie G. Silverberg Revocable Trust
Claimant Lawyers(s): Todd L. Silverberg
Respondent(s): The GMS Group
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | $18,382 |
| 15-00250 | 10/20/2015 | Claimant(s): Phyllis Kraus, William Kraus, The CPA Revocable Trust D/T/D 12/12/2006
Claimant Lawyers(s): D. Daxton White
Respondent(s): NFP Securities Inc.
Respondent Lawyers(s): Noah Snyder
Arbitrator(s): David P. Slater, Bruce K. Isenberg, Gary R Librizzi
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 13-03248 | 04/02/2015 | Claimant(s): Carol Bonner
Claimant Lawyers(s): Carol Bonner
Respondent(s): Daniel Mignone
Respondent Lawyers(s): Daniel Richard Mignone
Arbitrator(s): A. George Saks, David P. Slater, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $150,250 |
| 11-01904 | 12/17/2012 | Claimant(s): Parviz Samii
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Michael A. Levin, David P. Slater, Paul J. Burkhart
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
