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FINRA Awards for Neil S. Baritz

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Displaying 11-20 out of 68 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0406101/25/2023Claimant(s): David A. Kollar and Shirin Maria Kollar
Claimant Lawyers(s): Bryan T Forman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): William E. Hartsfield, Joseph Neal Richardson, Patricia Ann Nolan
Hearing Site: Dallas, TX
Checkmark IconExpungement
20-0254710/07/2022Claimant(s): Scott Reynolds, SRR Fortress Capital
Claimant Lawyers(s): Adam Ford
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Henry Perdue, Nanci Sondra Landy, Arlene Simon Backman
Hearing Site: Boca Raton, FL
Checkmark Icon$0
22-0043507/22/2022Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Donald Heitz
Respondent Lawyers(s): Donald Leon Heitz
Arbitrator(s): Langfred W. White
Hearing Site: Jacksonville, FL
20-0139906/08/2022Claimant(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
Checkmark IconExpungement
21-0265704/01/2022Claimant(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
20-0421003/30/2022Claimant(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
Checkmark Icon$0
19-0028211/22/2021Claimant(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
Checkmark Icon$237,553
18-0381609/27/2021Claimant(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
Checkmark Icon$2,554,900
20-0143908/26/2021Claimant(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
Checkmark IconExpungement
19-0051904/08/2021Claimant(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
Checkmark IconExpungement

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