| 18-01953 | 01/10/2020 | Claimant(s): Brian Sepe, Dawn Sepe
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): Steven Gerard Goerke, Michael A. Levin, Gary Mathew Singer
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12206/12504 |
| 12-03934 | 04/10/2014 | Claimant(s): Herbert Richman
Claimant Lawyers(s): Randall C. Place
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Michael A. Levin, Ellen J. Abrams, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | $150,250 |
| 12-01423 | 06/27/2013 | Claimant(s): Ellen Gache, EBG Investments, LLP
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Levitt Capital Management
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Michael A. Levin, Perry Earl Phillips, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $0 |
| 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 |
| 12-00949 | 02/20/2013 | Claimant(s): Anthonio Ricatti, Dana Ganci, Gloria Helman, John Ganci, Michael Allard
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter King
Arbitrator(s): Linda M. Granata, Michael A. Levin, Glenn Franklin Fuller
Hearing Site: Ft. Lauderdale, FL
| | Dismissed by Rule 12206 |
| 11-01904 | 12/17/2012 | Claimant(s): Parviz Samii
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Michael A. Levin, David P. Slater, Paul J. Burkhart
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 06-03145 | 04/30/2008 | Claimant(s): Roberto Erusalimsky, Highlands Investment Trading, Ltd., et
Claimant Lawyers(s): Alan R. Perry
Respondent(s): HSBC Brokerage (USA) Inc., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Michael A. Levin, Daniel S. Newman, Richard A. Stephens
Hearing Site: Boca Raton, FL
| | $0 |
