| 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 |
| 19-01544 | 06/12/2023 | Claimant(s): Dawn Forman
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | $0 |
| 21-02354 | 06/09/2023 | Claimant(s): Reid Nagle Revocable Trust
Claimant Lawyers(s): John Fialcowitz
Respondent(s): Charles Schwab & Co.., Rockingstone Advisors
Respondent Lawyers(s): Gordon C. Young, John Fialcowitz
Arbitrator(s): Ellen J. Abrams, Carl Henry Perdue, Mark E. English
Hearing Site: Boca Raton, FL
| | $0 |
| 21-02360 | 05/25/2023 | Claimant(s): Emily Aronson
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Steven N. Ainbinder, Barry David Thorpe, Stephen Robert Tiernay
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02939 | 05/16/2023 | Claimant(s): The Estate of Louise B. Lieber, John Carrell Lieber Family Trust
Claimant Lawyers(s): William R. Ponsoldt
Respondent(s): Christopher Queen
Respondent Lawyers(s): Kyle A. Owens
Arbitrator(s): Leslie L. Cooney, Scott Manker, Peter Joseph Battaglia
Hearing Site: Boca Raton, FL
| | $54,300 |
| 20-02294 | 05/09/2023 | Claimant(s): CPN Capital Enterprises Corporation
Claimant Lawyers(s): Catalina Rey
Respondent(s): Caio da Fonseca, Morgan Stanley
Respondent Lawyers(s): Catalina Rey, Leonel Peraza
Arbitrator(s): John E. Sutton, Myron E. Levenson, Peter Shapiro
Hearing Site: Boca Raton, FL
| | $800,000 |
