| 14-02780 | 10/24/2017 | Claimant(s): Kwok Cheung
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., Roger Lam
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Will Murphy, Carolyn E. Moore, Richard S. Herman
Hearing Site: Boca Raton, FL
|  | Expungement |
| 16-02000 | 10/13/2017 | Claimant(s): National Steel & Copper Plate Co.., Jon R. Marden Living Trust
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): David Rich, Andrea R. Jacobs, John B. Sochacki
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02717 | 09/29/2017 | Claimant(s): Isaac J. Anidjar TTEE, Sultana R. Anidjar TTEE
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Fredric R. Dichter, Harris Gally, John B. Sochacki
Hearing Site: Boca Raton, FL
| | Expungement |
| 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 |
| 16-01908 | 09/06/2017 | Claimant(s): Helene Brandon, Helene Brandon Rev Trust U/A DTD 8-6-03
Claimant Lawyers(s): Jerard C. Heller
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R. Bynum III
Arbitrator(s): Marc T. Danon, Alfred L. Simon, Stacey Rosenthal
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-00854 | 09/06/2017 | Claimant(s): Ana Blatman
Claimant Lawyers(s): Ana Blatman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
| | $213 |
| 16-00902 | 08/28/2017 | Claimant(s): Thomas E. Krause
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Steven N. Ainbinder, Donald Theodore Ryce, Andrew David Kahng
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-00931 | 08/08/2017 | Claimant(s): Gregg A. Kiken Trust U/A DTD 11/21/2001, Linda G. Kiken Trust U/A DTD 11/21/2001
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors, Russell Blum
Respondent Lawyers(s): Patricia E. Cowart, Russell Blum
Arbitrator(s): Steven Gerard Goerke, Sidney J. Wartel, Toby Bartosh
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02242 | 08/02/2017 | Claimant(s): Ronald Emanuel
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-03215 | 06/22/2017 | Claimant(s): Gene G. Leary Revocable Living Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): Oppenheimer & Co.., Miguel Garcia
Respondent Lawyers(s): Brian D. Buckstein, Cory S. Zadanosky
Arbitrator(s): Guillermo A. Gleizer, Margo Denise Wright, Jorge Rice
Hearing Site: Boca Raton, FL
| | Expungement |
