| 18-03140 | 03/06/2019 | Claimant(s): Jeffrey Newman
Claimant Lawyers(s): Craig D Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Steven L. Satter
Arbitrator(s): Karen Z. Fischer, Paul J. Burkhart, Mitchell Stephen Feig
Hearing Site: Boca Raton, FL
| | |
| 16-02093 | 05/26/2017 | Claimant(s): Kurt Sylvia
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Karen Z. Fischer, Sandra J. Bakalus, Stephen Kahane
Hearing Site: Boca Raton, FL
| | |
| 12-01581 | 02/26/2014 | Claimant(s): Robert Hile, Robert W. Hile, as a JTWROS w/ C.L. Hile
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Karen Z. Fischer, Gerald Silverman, Kimberly A. Gilmour
Hearing Site: Ft. Lauderdale, FL
|  | Expungement |
| 12-01847 | 12/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Roger Haigney
Respondent Lawyers(s): Roger Gerard Haigney
Arbitrator(s): Richard S. Zaifert, Karen Z. Fischer, Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
| | |
| 08-01602 | 07/23/2010 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Owen Mulvaney
Respondent Lawyers(s): Owen Mulvaney
Arbitrator(s): Karen Z. Fischer, John Uustal, Dale W. Oliver
Hearing Site: Boca Raton, FL
| | |
| 07-02962 | 04/06/2010 | Claimant(s): Thomas Devere
Claimant Lawyers(s): Adam Palmer
Respondent(s): Peter McMullin, Robert Wasserman, Stephen Degroat, Empire Financial Group., Jesup & Lamont Securities Corp.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Stan West, Karen Z. Fischer, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | |
| 03-03485 | 07/22/2009 | Claimant(s): Fahnestock & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Lisa Delphin Rep. to James Delfin Estate
Respondent Lawyers(s): Michael Halpern
Arbitrator(s): Robert H. Hagan, David W. Haynes, Karen Z. Fischer
Hearing Site: Boca Raton, FL
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