| 19-02053 | 02/05/2021 | Claimant(s): Beverley Schottenstein, Beverly B. Schottenstein, as Co-Trustee
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): Avi Schottenstein, Evan Schottenstein, J.P. Morgan Securities
Respondent Lawyers(s): Gabrielle L. Gould, Jonathan J. Brennan, Robert C. Harris
Arbitrator(s): James M. Scutti, David Rich, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
|  | $18,947,500 |
| 19-00018 | 07/29/2020 | Claimant(s): Ellin Einhorn IRA, Stuart M. Einhorn Rollover IRA
Claimant Lawyers(s): Robert C. Harris
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Amanda M. Cole
Hearing Site: Jacksonville, FL
| | Settlement |
| 17-01634 | 01/08/2019 | Claimant(s): Daniel Weil
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Stacey Lavender-Mayers, Trevor Saliba, NMS Capital Advisors., NMS Capital Securities
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Colette Manoil, Paul Gregory Smith, Arthur Thomas Carr
Hearing Site: Boston, MA
| | |
| 17-01987 | 12/14/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel Mauch
Respondent(s): Richard Hartnett
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Jack A. Helms
Hearing Site: Columbia, SC
| | |
| 16-02653 | 02/28/2018 | Claimant(s): Elaine Sommer, Richard Sommer, Elaine and Richard Sommer Joint Account, Elaine Sommer Revocable Trust, Richard Sommer Trust U/A DTD 1/13/95
Claimant Lawyers(s): Robert C. Harris
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Joseph Benalt, Donald Theodore Ryce, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-03476 | 07/14/2015 | Claimant(s): Helena Harnash
Claimant Lawyers(s): Todd S. Roth
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | $0 |
| 13-02237 | 05/14/2014 | Claimant(s): Michael Kelleher
Claimant Lawyers(s): Robert C. Harris
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jerrold Levine
Hearing Site: Miami, FL
| | |
| 12-00421 | 12/18/2012 | Claimant(s): Baerbel O'Haire, Joseph Fessler
Claimant Lawyers(s): Robert C. Harris
Respondent(s): James Gray, Kaye Gray
Respondent Lawyers(s): James Brian Gray, Kaye M. Gray
Arbitrator(s): Frances D. Sheehy, Kathy N. Novick, Sherry Puro
Hearing Site: Boca Raton, FL
| | Expungement |
