| 15-02894 | 04/07/2017 | Claimant(s): Daniel Pesante Armstrong
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Alise J. Henry, Joelle A. Simms
Arbitrator(s): Richard S. Zaifert, Ian S. Greig, Michael I. Rauchway
Hearing Site: Tampa, FL
|  | $425 |
| 15-01640 | 12/06/2016 | Claimant(s): Bonnie Shepherd, Holton Shepherd, Robert Young, 109 U Pull It. Robert C. Young, Holton & Bonnie Shepherd
Claimant Lawyers(s): Patricia L. Vannoy, Ryon M. McCabe
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Richard S. Zaifert, Lynne T. Albert, Richard James Igou
Hearing Site: Raleigh, NC
| | $119,177 |
| 14-02283 | 04/10/2015 | Claimant(s): Bart Burris, Bret Burris, Brian Burris, Leslie Rode, Thomas Harshman, Estate of Janet Burris
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Ameriprise Financial Services., IDS Life Insurance Company
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard S. Zaifert, Lawrence Gray Sanders, Byron Sheldon Arbeit
Hearing Site: Tampa, FL
| | Expungement |
| 14-00823 | 01/14/2015 | Claimant(s): Amilkar Capo
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | $0 |
| 12-04160 | 08/01/2014 | Claimant(s): George Johns
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): FMSBONDS.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Richard S. Zaifert, Elena G. Rodriguez, Joel K. Gustafson
Hearing Site: Ft. Lauderdale, FL
| | Stipulated Award |
| 11-04043 | 11/07/2013 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Edwin A. Zipf
Respondent(s): CRL Management
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Michael Lau, Richard S. Zaifert, Guillermo A. Gleizer
Hearing Site: Miami, FL
| | $0 |
| 12-00037 | 05/28/2013 | Claimant(s): Estelle Kranzberg, Morris Kranzberg
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03507 | 12/21/2012 | Claimant(s): Joan R. Stiles Trust u/a dtd 2/28/1991, William H. Stiles Trust u/a dtd 2/28/91
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Richard S. Zaifert, Bruce K. Isenberg, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02854 | 06/28/2012 | Claimant(s): Barry Irwin
Claimant Lawyers(s): Wayne S. Koppel
Respondent(s): Wells Fargo Advisors, Richard Fulton
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05157 | 06/11/2012 | Claimant(s): Linda Bassin Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Norry Luria, FMS Bonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Linda M. Granata, Richard S. Zaifert, Michael T. Williams
Hearing Site: Boca Raton, FL
| | Stipulated Award |
