| 14-03462 | 03/29/2016 | Claimant(s): Robert Berger, Ronnie Berger, Robert Berger CPA Profit Sharing Plan, Robert & Ronnie Berger Revocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Monica I. Salis, Lawrence M. Green, James M. Scutti
Hearing Site: Boca Raton, FL
|  | Expungement |
| 13-02545 | 03/01/2016 | Claimant(s): Antonietta D'Avanzo, Estate of Frank D'Avanzo Sr.
Claimant Lawyers(s): Gary Menzer
Respondent(s): Gil Cohen, MML Investors Services, Metlife Securities Inc.
Respondent Lawyers(s): Julie E. Ravis, Richard D'Amura
Arbitrator(s): Elena G. Rodriguez, Peter A. Portley, Leon H. Tracy
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-00171 | 02/23/2016 | Claimant(s): Rose Arem
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $23,174 |
| 15-01022 | 02/01/2016 | Claimant(s): Roger Beckham
Claimant Lawyers(s): Scott Eichhorn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Diana Sur
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | $0 |
| 14-01349 | 12/17/2015 | Claimant(s): Patricia Bendit
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Frederick P. Hartman, Charles Hoffman, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02634 | 11/16/2015 | Claimant(s): Harold Kornblum
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee
Arbitrator(s): Carl Shechter, David Rich, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-01081 | 11/10/2015 | Claimant(s): Marilyn Green, Melissa Green
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
| | $52,387 |
| 15-00378 | 11/09/2015 | Claimant(s): Laurel Ulrich
Claimant Lawyers(s): Jon L. Brunenkant
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Roy B. Gonas
Hearing Site: Boca Raton, FL
| | $23,707 |
| 15-00250 | 10/20/2015 | Claimant(s): Phyllis Kraus, William Kraus, The CPA Revocable Trust D/T/D 12/12/2006
Claimant Lawyers(s): D. Daxton White
Respondent(s): NFP Securities Inc.
Respondent Lawyers(s): Noah Snyder
Arbitrator(s): David P. Slater, Bruce K. Isenberg, Gary R Librizzi
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 14-01003 | 10/13/2015 | Claimant(s): John Mitsinikos, CKJ Investment Co. Limited Partnership
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): National Securities Corporation, VFinance Investments.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Barth Satuloff, Don R. Harris, Marvin S. Lava
Hearing Site: Boca Raton, FL
| | Expungement |
