| 21-02571 | 09/14/2023 | Claimant(s): Harold Mellin as Trustee, Suzanne Mellin as Trustee
Claimant Lawyers(s): Andrew M. Greenidge
Respondent(s): Faith Xenos, Mariner
Respondent Lawyers(s): Howard J. Rosenburg
Arbitrator(s): Monica I. Salis, William Kent Brown, Daniel Nathan Schatz
Hearing Site: Boca Raton, FL
|  | Expungement |
| 20-03589 | 08/25/2023 | Claimant(s): Anita Glick, Gary Glick
Claimant Lawyers(s): Anita Glick, Gary Glick
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Anna K. Stark
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-01074 | 08/22/2023 | Claimant(s): Robert A. Garvy Restated Revocable Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-01356 | 08/22/2023 | Claimant(s): Fondo De Inversion Privado FRC, Inversiones Don Fernando Spa
Claimant Lawyers(s): Jason P. Gottlieb
Respondent(s): CGIS Securities LLC
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): William Kent Brown, Ellen J. Abrams, Michael Adam Gross
Hearing Site: Boca Raton, FL
| | $0 |
| 23-00296 | 07/24/2023 | Claimant(s): Glenn Siegel, Joy Siegel
Claimant Lawyers(s): Christopher L. Lufrano
Respondent(s): Lucia Securities
Respondent Lawyers(s): Mike West
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-03040 | 07/21/2023 | Claimant(s): Pope Trading LLC
Claimant Lawyers(s): David W. Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Paul J. Burkhart, Peter Shapiro, Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
| | $0 |
| 22-02049 | 07/13/2023 | Claimant(s): Allen Markland, Carole Appleton, Danielle (Appleton) Caponigro, Deborah (Appleton) Gallant, John Markland, Robert Markland, Timothy Appleton
Claimant Lawyers(s): William B. Young
Respondent(s): Gerard Kelly, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig Stein
Arbitrator(s): Gary M. Landau, Robert Lawrence Ostrov, Lisa Jane Austein
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 23-00102 | 07/05/2023 | Claimant(s): Edward Sheinwald
Claimant Lawyers(s): Edward Sheinwald
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | $300 |
| 21-03069 | 06/29/2023 | Claimant(s): Mark Mills
Claimant Lawyers(s): Thomas C Allison
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, S. Ronald Daniels, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
| | $10,440 |
| 21-01442 | 06/26/2023 | Claimant(s): Jose Roberto Robles Gonzalez and
Claimant Lawyers(s): David R. Chase
Respondent(s): Ocean Financial Services
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Mark C. Perry, Steven N. Ainbinder, Gary Mathew Singer
Hearing Site: Boca Raton, FL
| | Expungement |
