| 20-02666 | 02/09/2022 | Claimant(s): Carol A. Mastics, individually for the, Carole Mastics Rev Tr Dtd 03/28/2011
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Monica I. Salis, Paul Weinberg, Edward Alexander Jaffe
Hearing Site: Boca Raton, FL
|  | Expungement |
| 20-02466 | 02/08/2022 | Claimant(s): Kathleen Riordan, MSSB C/F Kathleen Olvany Riordan
Claimant Lawyers(s): John Olvany
Respondent(s): J. Shepard
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Gloria O. North, Robert Lawrence Ostrov, Virginia Lee Perez-Berry
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02191 | 02/04/2022 | Claimant(s): Steven Ward
Claimant Lawyers(s): Steven B. Ward
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
| | $300 |
| 20-00459 | 02/03/2022 | Claimant(s): Joel D. Zychick, Trustee of GST Trust, Trustee of QTIP Trust
Claimant Lawyers(s): Jeffrey Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Marsha Matson, Robert Steven Haught, Randy Atlas
Hearing Site: Boca Raton, FL
| | $1,875,640 |
| 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 |
| 21-00429 | 01/31/2022 | Claimant(s): Lisbeth Brod
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Paul J. Burkhart, Stephanie Jeannette Charny, Victor Bernard Gent
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-03677 | 01/27/2022 | Claimant(s): Karim Maskatiya, MAM 1 Properties, LLLP, Karim Maskatiya Revocable Trust
Claimant Lawyers(s): Matthew J. Fisher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Matthew Haws
Arbitrator(s): Steven Gerard Goerke, Lawrence S. Silver, Leonard Michael Cusano
Hearing Site: Boca Raton, FL
| | $0 |
| 20-02976 | 01/13/2022 | Claimant(s): Normando Matos
Claimant Lawyers(s): Sara Hanley
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Edward R. Niederriter, Sidney Seligman, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-02397 | 01/11/2022 | Claimant(s): Amended and Restated Julian I. Stoopler
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Gerald Silverman, Sue Ellen D'Arcangelo, Michael Bracchi
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-01542 | 01/05/2022 | Claimant(s): Jennifer D. Port as Trustee, Lawrence A. Savarese, Jr. as Trustee
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Herbert Branitsky, Mitchell Stephen Feig, Margo Leslie Green
Hearing Site: Boca Raton, FL
| | Expungement |
