| 17-02664 | 06/25/2018 | Claimant(s): Nelson Faro
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Deborah Lichtenfeld, Michael Lichtenfeld
Respondent Lawyers(s): Neil B. Solomon
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
|  | Expungement |
| 17-01601 | 06/22/2018 | Claimant(s): Frank Ventura IRA
Claimant Lawyers(s): Frank Ventura
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-03046 | 06/04/2018 | Claimant(s): Hilary Musser, Cooper Management Co.
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Mitchell Silverman, Raymond, James & Associates.
Respondent Lawyers(s): Dominique E. Heller, Gianluca Morello
Arbitrator(s): Edward R. Niederriter, Donald Theodore Ryce, Harris Gally
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-03206 | 05/29/2018 | Claimant(s): Selma Melliza
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Michael J. Quarequio
Hearing Site: Boca Raton, FL
| | $40,600 |
| 16-01829 | 05/23/2018 | Claimant(s): Bonnie Kaplan IRA, Eric Kaplan and Bonnie Kaplan JTWROS, E.Kaplan Ttee Multidisc.Bus. App. 401(k)
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Richard J. Kaplan, Michael J. Quarequio, Sidney J. Wartel
Hearing Site: Boca Raton, FL
| | $862,117 |
| 16-02574 | 05/23/2018 | Claimant(s): Arlene H. Haft IRA, Richard J. Haft IRA, Richard J. Haft Living Trust
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): George G. Kurschner, Mark I. Roth, Scott Manker
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-00020 | 05/22/2018 | Claimant(s): Adam Goldstein, Jared Goldstein, Robert Goldstein, Estate of Herbert J. Goldstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley, Eugene Desoiza
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Carl Shechter, Edward R. Niederriter, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | $36,984 |
| 17-01700 | 05/14/2018 | Claimant(s): Eugene Sessa
Claimant Lawyers(s): Lars Soreide
Respondent(s): Spencer Laufer, J.H. Darbie & Co..
Respondent Lawyers(s): Lawrence R. Gelber, Spencer David Laufer
Arbitrator(s): David P. Slater, Perry Earl Phillips, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | $100,300 |
| 17-01525 | 05/14/2018 | Claimant(s): Elma McKenzie, Elma D. McKenzie IRA
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Karl Foust, HD Vest Advisory Services., HD Vest Investment Services
Respondent Lawyers(s): Eric J. Dec, Neil S. Baritz
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | $0 |
| 17-00222 | 04/02/2018 | Claimant(s): The Estate of Renee Novack, Philip Novack Residuary Trust UAD 6/4/02, Renee Novack Rev. Trust UAD 6/4/02
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Lee Rosenberg, Steven Hoffman, Cadaret, Grant & Co..
Respondent Lawyers(s): William Zeena
Arbitrator(s): Diane M. Perry, Donald Theodore Ryce, Joseph Michael Librie
Hearing Site: Boca Raton, FL
| | Expungement |
