15-00802 | 06/25/2019 | Claimant(s): Frederick Blake Claimant Lawyers(s): Neil B. Solomon Respondent(s): Anthony Fusco, Bernardo Misseri, Brian Decker, Steven Meyer, Legend Securities. Respondent Lawyers(s): Anthony Fusco, Bernardo Misseri, Brian K. Decker, Salvatore C. Caruso, Steven J. Meyer Arbitrator(s): Edward R. Niederriter, Mark I. Roth, Robert J. Buchner Hearing Site: Boca Raton, FL
| | $967,008 |
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 |
16-02364 | 03/23/2018 | Claimant(s): Lawrence Susienka, Lawrence M. Susienka IRA Claimant Lawyers(s): Robert H. Rex Respondent(s): SII Investments. Respondent Lawyers(s): Benjamin J. Biard Arbitrator(s): Mark I. Roth, Max Rafael Karyo Hearing Site: Boca Raton, FL
| | Expungement |
15-01979 | 06/16/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings Claimant Lawyers(s): Patrick G. King Respondent(s): Scott Sade Respondent Lawyers(s): Peter B. King Arbitrator(s): Monroe Mitchel, Mark I. Roth, John S. Leech Hearing Site: Boca Raton, FL
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11-02837 | 04/15/2014 | Claimant(s): Michele Jarrett, Sherri Jonas-Lazin, Sheila Jonas as TOD Beneficiary Claimant Lawyers(s): Jahan K Manasseh Respondent(s): Wells Fargo Advisors, Morgan Stanley Respondent Lawyers(s): Kathy M. Klock, Travis R. Chapin Arbitrator(s): Barth Satuloff, Mark I. Roth, Judith Kelner Chu Hearing Site: Boca Raton, FL
| | Expungement |
12-01481 | 08/13/2013 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Paul T. Cahill Respondent(s): Jay Golden Respondent Lawyers(s): Curtis Carlson Arbitrator(s): Gloria O. North, Mark I. Roth, Andrew R. Present Hearing Site: Ft. Lauderdale, FL
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10-04635 | 03/04/2013 | Claimant(s): Lehman Brothers Holdings Inc. Claimant Lawyers(s): Victor A. Machcinski Respondent(s): Paul Tanner Respondent Lawyers(s): Jeffrey R. Sonn Arbitrator(s): Gary W. Pollack, Mark I. Roth, Nikola Bjelajac Hearing Site: Ft. Lauderdale, FL
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11-02791 | 08/09/2012 | Claimant(s): Ann Ballas, Jonathan Nimphie, Stefani de Laville, Ann T. Ballas IRA, Martina A. Nimphie Rev Trust Claimant Lawyers(s): Garry W. O'Donnell Respondent(s): Raymond James Financial Services., Raymond, James & Associates. Respondent Lawyers(s): George L. Guerra Arbitrator(s): Richard J. Kaplan, George H. Rausch, Mark I. Roth Hearing Site: Boca Raton, FL
| | $0 |
10-00597 | 02/22/2011 | Claimant(s): AXA Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Shawn Wooden Respondent Lawyers(s): Shawn Wooden Arbitrator(s): Bruce K. Isenberg, Mark I. Roth, Marcy R. Greer Hearing Site: Ft. Lauderdale, FL
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09-02975 | 01/13/2011 | Claimant(s): Bernard Sussman, IRA, Bernard Sussman Revocable Trust Claimant Lawyers(s): Michael Amad Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Jon A. Jacobson Arbitrator(s): Peter J. Lavezzoli, James W. Geiger, Mark I. Roth Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |