| 19-02225 | 12/15/2022 | Claimant(s): Young America Capital
Claimant Lawyers(s): Tad Bull
Respondent(s): Novae Inc. f/k/a HandyU Inc.
Respondent Lawyers(s): Sergio Arana
Arbitrator(s): Francis Xavier Sexton, Louis David Huss, Raymond Gerald Teet
Hearing Site: Boca Raton, FL
|  | $0 |
| 19-03072 | 12/06/2022 | Claimant(s): Kanwaljit (Ken) Bakshi
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Leslie L. Cooney, Edward R. Niederriter, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-01277 | 11/30/2022 | Claimant(s): Joseph Walsh, Sarah Walsh
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Gerald Silverman, Rosemarie Ann Jannuzzi, Joseph Michael Librie
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-00834 | 11/07/2022 | Claimant(s): Aspiration Financial LLC
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): David Flores
Respondent Lawyers(s): David Flores
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | $0 |
| 20-02547 | 10/07/2022 | Claimant(s): Scott Reynolds, SRR Fortress Capital
Claimant Lawyers(s): Adam Ford
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Henry Perdue, Nanci Sondra Landy, Arlene Simon Backman
Hearing Site: Boca Raton, FL
| | $0 |
| 20-03765 | 10/03/2022 | Claimant(s): OKC Group
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): First Republic Investment Management, First Republic Securities Company
Respondent Lawyers(s): Neal Robb
Arbitrator(s): Steven Ira Weinberger, Jonathan Chane, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-03985 | 09/30/2022 | Claimant(s): Elizabeth Catana, Robert Catana
Claimant Lawyers(s): Matt Wolper
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Paul J. Burkhart, John B. Sochacki, Anthony Terence Flynn
Hearing Site: Boca Raton, FL
| | $850,000 |
| 22-00453 | 09/29/2022 | Claimant(s): Chrysta Dwyer-Hammon
Claimant Lawyers(s): August M. Iorio
Respondent(s): McDonald Partners LLC
Respondent Lawyers(s): Michael Gross
Arbitrator(s): Sidney Seligman
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-03373 | 09/16/2022 | Claimant(s): George Schussel, Sandra Schussel
Claimant Lawyers(s): John G. Rich
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christian T. Kemnitz
Arbitrator(s): Gerald Silverman, Nofrey Matthew Fornaro, Daniel Nathan Schatz
Hearing Site: Boca Raton, FL
| | $5,215,030 |
| 21-00591 | 08/26/2022 | Claimant(s): Robert Paulen IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
| | Expungement |
