| 12-03934 | 04/10/2014 | Claimant(s): Herbert Richman
Claimant Lawyers(s): Randall C. Place
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Michael A. Levin, Ellen J. Abrams, Paul J. Burkhart
Hearing Site: Boca Raton, FL
|  | $150,250 |
| 12-03795 | 04/07/2014 | Claimant(s): Susan Gurfein
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Carl Shechter, Edward R. Niederriter, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-01059 | 04/01/2014 | Claimant(s): Courtney Munson
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Primex
Respondent Lawyers(s): Mark Astarita
Arbitrator(s): James M. Scutti, Donald Theodore Ryce, Doug Campbell
Hearing Site: Boca Raton, FL
| | $138,500 |
| 12-04045 | 03/27/2014 | Claimant(s): Andrew L. & Sharon M. Rosenberg, White Mountain Sports 401k Plan
Claimant Lawyers(s): Sharon M. Rosenberg
Respondent(s): R. Lawrence, Next Financial Group.
Respondent Lawyers(s): Gary Klein
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
| | $15,311 |
| 11-02121 | 01/28/2014 | Claimant(s): Lois T. Morse Revocable Trust, Norman B. Morse Revocable Trust
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Evelyn Bukchin
Arbitrator(s): James W. Geiger, Edward R. Niederriter, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01716 | 01/23/2014 | Claimant(s): Gene K Glasser and Jewel Bertman Trustee
Claimant Lawyers(s): Gary Menzer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00982 | 01/14/2014 | Claimant(s): Dorothy Allan's IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Steven Ira Weinberger
Hearing Site: Boca Raton, FL
| | $11,408 |
| 12-02586 | 01/10/2014 | Claimant(s): Angela Belpedio
Claimant Lawyers(s): D. Daxton White
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Linda M. Granata, Peter A. Portley, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00904 | 01/06/2014 | Claimant(s): David Shapiro, David Shapiro Trust, Suellen Shapiro Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Investments By Planners.
Respondent Lawyers(s): Allan M. Lerner
Arbitrator(s): Steven R. Reininger, Donald Theodore Ryce, Kenneth J. Gamelin
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00169 | 01/06/2014 | Claimant(s): Julia Pordon, Leo Pordon, Julia M. Pordon on Behalf of Her IRA, Leo Pordon on Behalf of His IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): John M. Eadie, Joseph L. Bernstein, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | Expungement |
