| 20-01399 | 06/08/2022 | Claimant(s): Dana King
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): LPL Financial LLC, Bryan Shevak
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nancy J. Cliff, Daniel H. Yaffe, Gloria O. North
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-02657 | 04/01/2022 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Keith Esp
Respondent Lawyers(s): Keith Adam Esp
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
| | |
| 20-04210 | 03/30/2022 | Claimant(s): Nathan Edwards
Claimant Lawyers(s): Nathan Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mitchel Weiss, Brian Michael Kane, Mary Ann Etzler
Hearing Site: Jacksonville, FL
| | $0 |
| 19-00282 | 11/22/2021 | Claimant(s): Teena Clifton
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Koss, Olinger and Company
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Pamela Jeanne Rush, Gayle B. Carlson, Brian Michael Kane
Hearing Site: Jacksonville, FL
| | $237,553 |
| 18-03816 | 09/27/2021 | Claimant(s): Elizabeth Snyder, Linkster Holding, Elizabeth Snyder IRA, Elizabeth B. Snyder Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Barry Snyder, Montecito Advisors.
Respondent Lawyers(s): Elie Genadry, Neil S. Baritz
Arbitrator(s): Sidney J. Wartel, Andrea R. Jacobs, Stephen John Gohlke
Hearing Site: Boca Raton, FL
| | $2,554,900 |
| 20-01439 | 08/26/2021 | Claimant(s): Linda Jaremback, Michael Jaremback
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nanci Sondra Landy, Erika Deutsch Rotbart, Robert Stanley Zack
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-00519 | 04/08/2021 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): TD Ameritrade., Purshe Kaplan Sterling Investments
Respondent Lawyers(s): Neil S. Baritz, Sanay B. Panchal
Arbitrator(s): Richard D. Fincher, Delores Manwar, Kenneth Layne Morrill
Hearing Site: Phoenix, AZ
| | Expungement |
| 19-03579 | 02/09/2021 | Claimant(s): Kevin Fretz
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 19-00834 | 12/09/2020 | Claimant(s): Barbara Ringwalt, David Ringwalt, Hope Yonge, Jolante Kahnt, Nancy Fetzer, Peter Prowalny, Wes Fetzer
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Robert Halldin, American Portfolios Financial Services,
Respondent Lawyers(s): Neil S. Baritz, Robert James Halldin
Arbitrator(s): Kenneth R. Starr, Philip L. Manczak, Natalie Paskiewicz
Hearing Site: Tampa, FL
| | $0 |
| 16-02887 | 10/16/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Nelson Torrens
Respondent Lawyers(s): Nelson Torrens
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
| | |
