| 18-03170 | 05/21/2020 | Claimant(s): Arlene Dixon, Sherman Salovitz
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Marcus Berger, Investors Capital Corp.
Respondent Lawyers(s): Benjamin J. Biard, Neil S. Baritz
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
|  | $0 |
| 19-00565 | 05/21/2020 | Claimant(s): Jamie Margulies, on Behalf of His IRA
Claimant Lawyers(s): Jamie Margulies
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $0 |
| 19-01163 | 05/07/2020 | Claimant(s): Sandra Dannenberg
Claimant Lawyers(s): Lars Soreide
Respondent(s): Oppenheimer & Co.., Sean Rooney
Respondent Lawyers(s): John T. McGuire, Neil S. Baritz
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | $0 |
| 18-04274 | 04/29/2020 | Claimant(s): Ronald Carlson
Claimant Lawyers(s): Ronald N. Carlson
Respondent(s): Wells Fargo Clearing Services, Prudential Annuities Distributors.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Paul Weinberg, Joseph Benalt, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | $0 |
| 18-00458 | 04/17/2020 | Claimant(s): David Kolasa
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Lawrence M Green, Sanders William Gropper, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | $0 |
| 18-04048 | 04/13/2020 | Claimant(s): Carole Blake, Lawrence Franklin, Lawrence Franklin Revocable Trust
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Barth Satuloff, Robert Lawrence Ostrov, Peter Shapiro
Hearing Site: Boca Raton, FL
| | $0 |
| 19-00258 | 03/05/2020 | Claimant(s): Patricia J. Wilson Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Karl Foust
Respondent Lawyers(s): Karl Ronald Foust
Arbitrator(s): Todd M. Saunders, Richard Carl Smukler, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
| | $200,000 |
| 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 |
| 19-02341 | 02/27/2020 | Claimant(s): Michael Gross
Claimant Lawyers(s): Michael Houston Gross
Respondent(s): Natcity Investments.
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Bart Samuel Cohodas, Thomas W. Allen, Peter Susser
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-01953 | 01/10/2020 | Claimant(s): Brian Sepe, Dawn Sepe
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): Steven Gerard Goerke, Michael A. Levin, Gary Mathew Singer
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206/12504 |
