| 13-02513 | 06/26/2014 | Claimant(s): Nicki Suitor Dimopoulos
Claimant Lawyers(s): Nicki Lynn Suitor
Respondent(s): Morgan Stanley, Sandra Washburn
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
|  | $0 |
| 12-01585 | 06/18/2014 | Claimant(s): Lilred
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Ameriprise Financial Services., American Enterprise Investment Services
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Edward R. Niederriter, Howard L. Conklin
Hearing Site: Boca Raton, FL
| | $0 |
| 12-02482 | 05/19/2014 | Claimant(s): Renee Ginsberg, Trustee UAD 3/19/1991
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Barry Ginsberg, Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky,
Arbitrator(s): Lawrence M. Green, Steven Gerard Goerke, Scott Manker
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03658 | 05/15/2014 | Claimant(s): Roslyn Hazan
Claimant Lawyers(s): Randall C. Place
Respondent(s): Eli Hazan, Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham, Randall C. Place
Arbitrator(s): Steven N. Ainbinder, Michael Lau, Leon H. Tracy
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00452 | 05/02/2014 | Claimant(s): Carluco Investments Limited
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Carl Shechter, Steven E. Eisenberg, James Michael LaBonte
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02585 | 04/30/2014 | Claimant(s): Deanna Bresky
Claimant Lawyers(s): George G. Kurschner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Bruce K. Isenberg, David E. Mowry, Myron E. Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02829 | 04/24/2014 | Claimant(s): Joel Levine
Claimant Lawyers(s): Randall C. Place
Respondent(s): Anthony Fisher
Respondent Lawyers(s): Anthony John Fisher
Arbitrator(s): Alyson R. Dachelet
Hearing Site: Boca Raton, FL
| | $50,600 |
| 12-03975 | 04/23/2014 | Claimant(s): Barbara Unger, Barbara J. Unger Rev. Trust dtd 12/20/02
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Janet N. Smiles, Stuart Harvey Ziegler, David Rich
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-01562 | 04/21/2014 | Claimant(s): Barbara Lebovitz
Claimant Lawyers(s): Scott J. Link
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Randy R. Freedman, William W. Bride, Gerald M. Siegel
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02837 | 04/15/2014 | Claimant(s): Michele Jarrett, Sherri Jonas-Lazin, Sheila Jonas as TOD Beneficiary
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Kathy M. Klock, Travis R. Chapin
Arbitrator(s): Barth Satuloff, Mark I. Roth, Judith Kelner Chu
Hearing Site: Boca Raton, FL
| | Expungement |
