| 17-00867 | 03/14/2018 | Claimant(s): Dirk Rabenold
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): Kerry Montgomery, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Robert Rex
Arbitrator(s): Robert A. Sauerberg, Elena G. Rodriguez, Richard W. Epstein
Hearing Site: Boca Raton, FL
|  | Expungement |
| 14-01222 | 12/29/2014 | Claimant(s): Scott Notowitz
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Robert A. Sauerberg, Walter John Chesney, Theodore Israel Herold
Hearing Site: Boca Raton, FL
| | |
| 14-01221 | 12/24/2014 | Claimant(s): Douglas Adams
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Robert A. Sauerberg, David E. Mowry, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 14-00563 | 11/18/2014 | Claimant(s): Scott Weber
Claimant Lawyers(s): Brian D. Elias
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Robert A. Sauerberg, Kathy N. Novick, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | |
| 13-00606 | 09/25/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney Rogers Reid
Respondent(s): Moncef Bennaji
Respondent Lawyers(s): Michael Moran
Arbitrator(s): Robert A. Sauerberg
Hearing Site: Boca Raton, FL
| | |
| 12-03253 | 07/17/2013 | Claimant(s): Jaimie Flack, William Flack
Claimant Lawyers(s): Jaimie G. Flack
Respondent(s): Morgan Stanley, Robert Ennis, Sheryl Zuckerman
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Robert A. Sauerberg
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 11-02233 | 11/05/2012 | Claimant(s): Exempt Share Tst of Gwen Meltzer Rev Tst
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Wells Fargo Advisors, David Kaufman
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Steven M. Greenbaum, Robert A. Sauerberg, Barry S. Shanbron
Hearing Site: Boca Raton, FL
| | $0 |
| 11-00993 | 04/10/2012 | Claimant(s): Harvey Boritz, Harvey J. Boritz Rollover IRA
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Robert A. Sauerberg
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-02083 | 03/25/2010 | Claimant(s): Cordelia Dellapina, Walter Dellapina, Walter and Cordelia Dellapina, JTWROS
Claimant Lawyers(s): Alan Foxman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Robert A. Sauerberg, Ellen J. Abrams, William G. Geisert
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02294 | 02/25/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Colleen M. Fitzgerald
Respondent(s): Mary White
Respondent Lawyers(s): Drake Mann
Arbitrator(s): Robert A. Sauerberg, Will Murphy, Alan H. Maltenfort
Hearing Site: Little Rock, AR
| | |
