| 17-01064 | 01/09/2019 | Claimant(s): Albert Kaufman
Claimant Lawyers(s): Albert Duncan Kaufman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Thomas J. Ray, Albert J. Haller, Robert Joseph Osdieck
Hearing Site: St. Louis, MO
| | |
| 16-03735 | 11/12/2018 | Claimant(s): Timothy Wheeler
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, Michael D Felton, Robert G. Geeseman
Hearing Site: Boca Raton, FL
|  | Expungement |
| 16-02574 | 05/23/2018 | Claimant(s): Arlene H. Haft IRA, Richard J. Haft IRA, Richard J. Haft Living Trust
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): George G. Kurschner, Mark I. Roth, Scott Manker
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-01525 | 05/14/2018 | Claimant(s): Elma McKenzie, Elma D. McKenzie IRA
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Karl Foust, HD Vest Advisory Services., HD Vest Investment Services
Respondent Lawyers(s): Eric J. Dec, Neil S. Baritz
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | $0 |
| 15-01399 | 01/09/2018 | Claimant(s): Beverly Hunnewell
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Jeffrey Newman, Sarah Burns, Park Avenue Securities LLC
Respondent Lawyers(s): David A. Weintraub, Neil S. Baritz, Z. Logan Gould
Arbitrator(s): Gilbert A. Schnirman, Christopher J. Klein, Glenn Franklin Fuller
Hearing Site: Miami, FL
| | |
| 17-00009 | 09/14/2017 | Claimant(s): Louis Adorian
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Lawrence M. Green, David Rich, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 16-00301 | 09/01/2017 | Claimant(s): Kathryn Thatcher
Claimant Lawyers(s): Timothy J. Perry
Respondent(s): Charles Marvin, Morgan Stanley, Richard Hartnett
Respondent Lawyers(s): Lisa B. Dodge, Neil S. Baritz
Arbitrator(s): John Joseph Cotter, Joseph Charles Kennedy, Thomas Matthew Madden
Hearing Site: Boston, MA
| | Expungement |
| 15-01665 | 11/22/2016 | Claimant(s): Praveen Chandra
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mary M. O'Neil, Brent J. Rosenbaum, Michael John Florio
Hearing Site: Las Vegas, NV
| | $0 |
| 15-00696 | 03/30/2016 | Claimant(s): Sondra Steinberg
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Joseph L. Bernstein, David Rich, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $53,500 |
| 15-01273 | 03/02/2016 | Claimant(s): Barbara Tanzman
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Alan Jacobs, Leslie Lukoff, Michael Falken, Michael Jacobs
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
