| 22-02268 | 01/05/2024 | Claimant(s): Tamir Zury
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Gary M. Landau, Richard Carl Smukler, Edward Alexander Jaffe
Hearing Site: Boca Raton, FL
|  | Expungement |
| 22-02049 | 07/13/2023 | Claimant(s): Allen Markland, Carole Appleton, Danielle (Appleton) Caponigro, Deborah (Appleton) Gallant, John Markland, Robert Markland, Timothy Appleton
Claimant Lawyers(s): William B. Young
Respondent(s): Gerard Kelly, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig Stein
Arbitrator(s): Gary M. Landau, Robert Lawrence Ostrov, Lisa Jane Austein
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 20-00794 | 03/20/2023 | Claimant(s): Jorge Jimenez Buitrago
Claimant Lawyers(s): Jorge E. Jimenez Buitrago
Respondent(s): Citi International Financial Services
Respondent Lawyers(s): John Bustard
Arbitrator(s): Gary M. Landau, Elena G. Rodriguez, Jacalyn R. Murray
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12212© |
| 19-00637 | 11/17/2021 | Claimant(s): Linda Stack
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Gary M. Landau, Gerald Silverman, Leon H. Tracy
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-00522 | 12/22/2020 | Claimant(s): Gerald S. Backman 2007 Revocable Trust,
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Gary M. Landau, Christopher J. Klein, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | $90,050 |
| 19-00968 | 08/14/2020 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Thomas Marino, R.M. Stark & Co..
Respondent Lawyers(s): Richard A. D'Amura, Thomas John Marino
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | $349,231 |
| 18-04085 | 03/02/2020 | Claimant(s): Cathy Mina, IRA, Louis Mina IRA, Cathy R. Mina, Rev. Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Gary M. Landau, David P. Slater, Robert Stanley Zack
Hearing Site: Boca Raton, FL
| | $0 |
| 18-04018 | 05/13/2019 | Claimant(s): Alyssa Rakovich
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | |
| 17-02366 | 12/17/2018 | Claimant(s): Albert Oppedisano, James Cecchini
Claimant Lawyers(s): Jason S. Haselkorn, Jonathan Butler
Respondent(s): Lincoln Investment Planning LLC
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Gary M. Landau, Lonnie K. Martens, Ronald W. Weissman
Hearing Site: Boca Raton, FL
| | |
| 18-02404 | 12/10/2018 | Claimant(s): Robert Jones
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Susan Provencher
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | |
