23-01396 | 06/05/2024 | Claimant(s): Charles L. Roberts Trust Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Seth L. Finkel Hearing Site: Boca Raton, FL
| | Expungement |
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 |
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 |
20-02205 | 09/27/2023 | Claimant(s): Sidney Kruger Living Trust Claimant Lawyers(s): Jonathan Noble David Respondent(s): Wells Fargo Advisors, Mara Schainuck, Sharon Miller Respondent Lawyers(s): Sara Soto Arbitrator(s): Seth L. Finkel, Sydney E. Blum, Mark A Bilawsky Hearing Site: Boca Raton, FL
| | Expungement |
20-03589 | 08/25/2023 | Claimant(s): Anita Glick, Gary Glick Claimant Lawyers(s): Anita Glick, Gary Glick Respondent(s): David Lerner Associates. Respondent Lawyers(s): Anna K. Stark Arbitrator(s): Seth L. Finkel Hearing Site: Boca Raton, FL
| | Expungement |
20-00275 | 10/29/2021 | Claimant(s): Michal Marczyk Claimant Lawyers(s): Jon A. Jacobson Respondent(s): Lime Brokerage Respondent Lawyers(s): James L. Kopecky Arbitrator(s): Seth L. Finkel, Justin M. Moore, Jeff Cappelletti Hearing Site: Boca Raton, FL
| | $0 |
19-01551 | 09/15/2020 | Claimant(s): Hilary L. Shane Revocable Trust Claimant Lawyers(s): Jo Ann Palchak Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): Seth L. Finkel, Renaldy Jose Gutierrez, John B. Sochacki Hearing Site: Boca Raton, FL
| | Settlement |
16-00880 | 01/07/2019 | Claimant(s): Manuel Ojeda, Professional Equipment Corp. Claimant Lawyers(s): Normarie Rodriguez-Perez Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Roberto C. Quinones, Sean J. Coughlin Arbitrator(s): Seth L. Finkel, Will Murphy, Thomas Richard Blake Hearing Site: San Juan, PR
| | Expungement |
16-03270 | 03/08/2018 | Claimant(s): Elvira Martinez Manso, Harry Pelaez, Encody. Claimant Lawyers(s): Lloyd R. Schwed Respondent(s): UBS Financial Services Inc. Of PR Respondent Lawyers(s): Denver G. Edwards Arbitrator(s): Seth L. Finkel, Jan Glenn Valecka, Matthew Stephen Duchesne Hearing Site: San Juan, PR
| | $253,256 |
14-00575 | 03/21/2017 | Claimant(s): Steven Santagati Claimant Lawyers(s): John Veach Respondent(s): Dawn Bennett, Bennett Group Financial Services, Western International Securities. Respondent Lawyers(s): David E. Robbins Arbitrator(s): Monica I. Salis, Seth L. Finkel, C. Richard Mancini Hearing Site: Miami, FL
| | $1,042,770 |