| 16-02653 | 02/28/2018 | Claimant(s): Elaine Sommer, Richard Sommer, Elaine and Richard Sommer Joint Account, Elaine Sommer Revocable Trust, Richard Sommer Trust U/A DTD 1/13/95
Claimant Lawyers(s): Robert C. Harris
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Joseph Benalt, Donald Theodore Ryce, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
|  | Expungement |
| 17-00472 | 10/31/2017 | Claimant(s): David Bass
Claimant Lawyers(s): John Stewart
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly Gustafson
Arbitrator(s): David G. Pittinos, Alvin Abraham Simon, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
| 12-03795 | 04/07/2014 | Claimant(s): Susan Gurfein
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Carl Shechter, Edward R. Niederriter, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02176 | 12/20/2012 | Claimant(s): Robert Barash
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Willard Pugh, Dawson James Asset Management., Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Paul Joseph McIntyre, Peter A. Portley, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00087 | 10/30/2012 | Claimant(s): Marvin Adler, Theda Adler, The Theda Adler Trust U/A/D 1/15/97
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau, Randi Perry Spallina
Arbitrator(s): Kalman J. Lester, William Kent Brown, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-06817 | 03/06/2012 | Claimant(s): Carole Helman
Claimant Lawyers(s): Mindy Helman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Stan West, Paul W. Sterman, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | $0 |
| 07-02962 | 04/06/2010 | Claimant(s): Thomas Devere
Claimant Lawyers(s): Adam Palmer
Respondent(s): Peter McMullin, Robert Wasserman, Stephen Degroat, Empire Financial Group., Jesup & Lamont Securities Corp.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Stan West, Karen Z. Fischer, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | |
