| 20-01873 | 04/25/2023 | Claimant(s): Concert Capital Limited
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Martin A. Feigenbaum, Stephanie Jeannette Charny, Stephen Robert Tiernay
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12212 |
| 21-01584 | 04/06/2023 | Claimant(s): Peal Partners, Ltd., Stanley Peal Irrevocable Trust
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anastasia B. Wohar
Arbitrator(s): Nancy J. Cliff, Will Murphy, Alisa Matire
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-03928 | 03/24/2023 | Claimant(s): ODS Capital
Claimant Lawyers(s): Jo Ann Palchak
Respondent(s): Pershing LLC, Celadon Financial Group, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Brian F. Amery, Lawrence Portnoy, Ronald Shindler
Arbitrator(s): George G. Kurschner, Milena Domenica Macias, Martin I Jaffe
Hearing Site: Boca Raton, FL
| | $0 |
| 21-00944 | 03/22/2023 | Claimant(s): Estate of Dennis Ponnock, Dennis Ponnock Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): Edward Fernberger, Raymond, James & Associates.
Respondent Lawyers(s): Bruce W. Barnes, Laura T. Ruiz Rivera
Arbitrator(s): Monica I. Salis, Steven Gerard Goerke, Laura C Myers
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-00794 | 03/20/2023 | Claimant(s): Jorge Jimenez Buitrago
Claimant Lawyers(s): Jorge E. Jimenez Buitrago
Respondent(s): Citi International Financial Services
Respondent Lawyers(s): John Bustard
Arbitrator(s): Gary M. Landau, Elena G. Rodriguez, Jacalyn R. Murray
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12212© |
| 22-00052 | 03/13/2023 | Claimant(s): Richard Ringel
Claimant Lawyers(s): Richard Ringel
Respondent(s): Michael Haupt, Randy Beller, Tradezero America.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Richard Carl Smukler, Mark A. Jacoby, Leonard Marc Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-02005 | 03/02/2023 | Claimant(s): Christopher Wheeler
Claimant Lawyers(s): Christopher Wheeler
Respondent(s): Webull Financial LLC
Respondent Lawyers(s): Danielle R. Gill
Arbitrator(s): Gerald H. Grayson
Hearing Site: Boca Raton, FL
| | $0 |
| 21-02390 | 02/16/2023 | Claimant(s): Don and Miki Rimmer Revocable Trust, Telecomunications Network Consultants
Claimant Lawyers(s): August M. Iorio
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Monica I. Salis, Susan J Jones, Eric Mealus
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-00953 | 02/08/2023 | Claimant(s): Ann Goldberg, Marc Goldberg
Claimant Lawyers(s): Gary Menzer
Respondent(s): Corey Engelhard, Wells Fargo Advisors
Respondent Lawyers(s): Christopher M. Sacco, Paul Yarns
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02549 | 02/02/2023 | Claimant(s): Steven Howell
Claimant Lawyers(s): Michael Hill
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Mark C. Perry, Alessandra Piras Torrens, Danielle Dudai
Hearing Site: Boca Raton, FL
| | $0 |
