| 21-02354 | 06/09/2023 | Claimant(s): Reid Nagle Revocable Trust
Claimant Lawyers(s): John Fialcowitz
Respondent(s): Charles Schwab & Co.., Rockingstone Advisors
Respondent Lawyers(s): Gordon C. Young, John Fialcowitz
Arbitrator(s): Ellen J. Abrams, Carl Henry Perdue, Mark E. English
Hearing Site: Boca Raton, FL
|  | $0 |
| 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 |
| 19-00624 | 04/04/2022 | Claimant(s): Laurita P. Chmielewski Revocable Trust
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): James Flynn, Voya Financial Advisors.
Respondent Lawyers(s): James Travis Flynn, Steven Mellen
Arbitrator(s): Carl Henry Perdue, Peter Shapiro, Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
| | $323,365 |
| 18-03460 | 02/01/2022 | Claimant(s): David Epstein, Ethan Epstein
Claimant Lawyers(s): Victor Bayata
Respondent(s): Signature Securities
Respondent Lawyers(s): Vincent P. Pozzuto
Arbitrator(s): Roy B. Gonas, Carl Henry Perdue, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 19-00684 | 10/21/2021 | Claimant(s): Henry Ingram
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Leonard Michael Cusano, Carl Henry Perdue, Scott Albert Stringer
Hearing Site: Boca Raton, FL
| | $0 |
| 20-00888 | 08/11/2020 | Claimant(s): Theodore Ritota
Claimant Lawyers(s): Theodore C. Ritota
Respondent(s): James Viets, Micah Inman
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | $0 |
| 18-02748 | 06/05/2020 | Claimant(s): John Ireland
Claimant Lawyers(s): Michael J. Gore
Respondent(s): Brett Ellis, Carmine Capone, Jason Figueroa, The GMS Group
Respondent Lawyers(s): Jason L. Figueroa, John E. Jenkins
Arbitrator(s): Anne H. Orr, Donald Theodore Ryce, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | $0 |
| 17-00109 | 05/17/2018 | Claimant(s): UBS Financial Services Inc. Of PR
Claimant Lawyers(s): Christopher N. Manning
Respondent(s): David Efron
Respondent Lawyers(s): David Efron
Arbitrator(s): Christopher J. Klein, Peter A. Roche, Carl Henry Perdue
Hearing Site: Miami, FL
| | $0 |
| 17-00009 | 09/14/2017 | Claimant(s): Louis Adorian
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Lawrence M. Green, David Rich, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 13-03717 | 02/14/2017 | Claimant(s): The Fideicomiso Santa Barbara Trust
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Randi Perry Spallina, Ross Firsenbaum
Arbitrator(s): Jerrold Levine, Richard S. Herman, Carl Henry Perdue
Hearing Site: Miami, FL
| | $363,875 |
