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FINRA Awards for Boca Raton, FL

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Displaying 31-40 out of 706 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0203912/04/2023Claimant(s): Gables Capital Management.
Claimant Lawyers(s): Jeffrey T. Foreman
Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, INTL FCStone Financial.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Barth Satuloff, Paul B. Glantz, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
22-0161611/21/2023Claimant(s): Eric Chirinsky, Chirinsky Investments LLLP, The Eric Chirinsky Family Trust
Claimant Lawyers(s): Andrew M. Greenidge
Respondent(s): Juda Schechter, Mariner dba Mariner Wealth Advisors
Respondent Lawyers(s): Howard J. Rosenburg
Arbitrator(s): Robert Steven Haught
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
23-0062810/11/2023Claimant(s): Heidi Leeds, Laurence Leeds
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
20-0220509/27/2023Claimant(s): Sidney Kruger Living Trust
Claimant Lawyers(s): Jonathan Noble David
Respondent(s): Wells Fargo Advisors, Mara Schainuck, Sharon Miller
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Sydney E. Blum, Mark A Bilawsky
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
21-0233509/19/2023Claimant(s): Estate of Catherine Nicholson
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Anna K. Stark
Arbitrator(s): Steven N. Ainbinder, Kimberly A. Gilmour, Stephen John Gohlke
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
21-0257109/14/2023Claimant(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
Checkmark IconExpungement
20-0358908/25/2023Claimant(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
Checkmark IconExpungement
20-0107408/22/2023Claimant(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
Checkmark IconExpungement
22-0135608/22/2023Claimant(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
Checkmark Icon$0
23-0029607/24/2023Claimant(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
Checkmark IconExpungement

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