| 22-00822 | 05/11/2023 | Claimant(s): Troy Goldberg
Claimant Lawyers(s): Zachary Morse
Respondent(s): Monroe Parker Securities., National Securities Corporation, NewBridge Securities Corp., Fin-Atlantic Securities.
Respondent Lawyers(s): Alan Lipsky, Emily A. Hayes, Jerry E. Surman, Zachary Hayes-Macaluso
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 21-00779 | 12/23/2021 | Claimant(s): Jim Mui
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Raymond James Financial Services., Raymond, James & Associates., UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer E. Novoselsky, John Murphy, Robert M. Rudnicki
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 16-00902 | 08/28/2017 | Claimant(s): Thomas E. Krause
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Steven N. Ainbinder, Donald Theodore Ryce, Andrew David Kahng
Hearing Site: Boca Raton, FL
|  | Expungement |
| 16-02781 | 07/20/2017 | Claimant(s): Patrick Dwyer
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Steven N. Ainbinder, Barry David Thorpe, Keith Robert Santillo
Hearing Site: Miami, FL
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| 16-03542 | 06/27/2017 | Claimant(s): Michael Newton
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Kovack Securities Inc.
Respondent Lawyers(s): Amy Towle
Arbitrator(s): Steven N. Ainbinder, Will Murphy, Tina Scott Polsky
Hearing Site: Boca Raton, FL
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| 16-00455 | 10/17/2016 | Claimant(s): Blanca Gomez de Hernandez
Claimant Lawyers(s): David Levine
Respondent(s): Wells Fargo Advisors, Jorge Hernandez, Maria Batchelor
Respondent Lawyers(s): Jorge Hernandez, Patricia E. Cowart, Robert W. Pearce
Arbitrator(s): Steven N. Ainbinder, Lawrence Zenville Rosenberg, Gary Frederick Birnberg
Hearing Site: Boca Raton, FL
| | $0 |
| 15-01256 | 05/24/2016 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Scott Strochak
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 15-01887 | 02/18/2016 | Claimant(s): Ioana Cioc
Claimant Lawyers(s): Mark David Hunter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Bury
Arbitrator(s): Steven N. Ainbinder, Seth L. Finkel, Kathy N. Novick
Hearing Site: Miami, FL
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| 13-00894 | 10/29/2015 | Claimant(s): Christopher Morson
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Steven N. Ainbinder, Monroe Mitchel, Jon Stanley Spisiak
Hearing Site: Boca Raton, FL
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| 14-02950 | 04/10/2015 | Claimant(s): AXA Advisors, AXA Network, L.L.C.
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Michael Mendelsohn
Respondent Lawyers(s): Michael Mendelsohn
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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