| 12-00278 | 04/25/2013 | Claimant(s): Marc Brody
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Myron E. Levenson, Herbert Branitsky, Sonja Shuford
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-04716 | 04/19/2013 | Claimant(s): Joanne Gould, Michael Gould
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): John Vassalotti
Arbitrator(s): Joseph L. Bernstein, Daniel P. Lund, Harvey Russell Preston
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00244 | 04/17/2013 | Claimant(s): Samuel Messing
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01060 | 04/17/2013 | Claimant(s): Angie Herschkoff
Claimant Lawyers(s): Joseph J. Gulino
Respondent(s): Chase Investment Services Corp., AXA Advisors
Respondent Lawyers(s): Joseph S. Simms, Renata Ortiz Bloom
Arbitrator(s): Marc S. Piven, Michael A. Levin, Mauricio Arcadier
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 11-03807 | 04/08/2013 | Claimant(s): Robert K. Miller Roth IRA
Claimant Lawyers(s): Leonard P. Haberman
Respondent(s): Noble Financial Capital Markets
Respondent Lawyers(s): Peter Jung
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $36,753 |
| 11-03950 | 03/26/2013 | Claimant(s): Richard Lindstrom, Robert Kwass, James and Ruth DeMartini, Norwood and Patricia Hoecker
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Workman Securities Corporation
Respondent Lawyers(s): Dana Vietor
Arbitrator(s): Marc Scott Shapiro, Richard J. Kaplan, Jack G. Armstrong
Hearing Site: Boca Raton, FL
| | $350,300 |
| 11-03579 | 03/08/2013 | Claimant(s): Barbara LaVerde, Ronald LaVerde, Barbara A. LaVerda Rev. Trust, Ronald J. Laverde Rev. Trust
Claimant Lawyers(s): Scott Konopka
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Thomas Barnwell
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Marc T. Danon, Sydney E. Blum, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03111 | 03/06/2013 | Claimant(s): Nancy Thomas, Nancy K. Thomas Revocable Trust U/A/D 97
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Lawrence Goldberg, Donald Theodore Ryce, Harris Gally
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02830 | 02/08/2013 | Claimant(s): Oyster Reef International
Claimant Lawyers(s): Alejandro N. Tagliero
Respondent(s): Merrill Lynch Pierce Fenner & Smith
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Martin M. Van Luven
Hearing Site: Boca Raton, FL
| | $0 |
| 12-00569 | 02/06/2013 | Claimant(s): Richard Fisher
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Steven Gerard Goerke, Marc T. Danon, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
