20-01084 | 02/15/2022 | Claimant(s): Antonia Hieronymus, Daniel Hassett, David Freshwater, Joseph Reilly, Steven Rothstein, Vijay Ande Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Joseph Alagna, Stephan Stein, Joseph Gunnar & Co. Respondent Lawyers(s): John E. Lawlor Arbitrator(s): Roy B. Gonas, Michael J. Quarequio, Joseph Benalt Hearing Site: Boca Raton, FL
| | $512,731 |
18-03460 | 02/01/2022 | Claimant(s): David Epstein, Ethan Epstein Claimant Lawyers(s): Victor Bayata Respondent(s): Signature Securities Respondent Lawyers(s): Vincent P. Pozzuto Arbitrator(s): Roy B. Gonas, Carl Henry Perdue, Robert Lawrence Ostrov Hearing Site: Boca Raton, FL
| | Stipulated Award |
16-03169 | 07/23/2019 | Claimant(s): Jeffrey Feld Claimant Lawyers(s): Bradley P. Rothman Respondent(s): AXA Advisors, AXA Network Respondent Lawyers(s): Michael N. Ungar Arbitrator(s): Roy B. Gonas, Erika Deutsch Rotbart, Robert C. Harris Hearing Site: Boca Raton, FL
| | |
15-00304 | 08/19/2016 | Claimant(s): Jacob Zabara, Zabara Family 2012 Irrevocable Trust UAD Claimant Lawyers(s): Ryon M. McCabe Respondent(s): FMSBonds. Respondent Lawyers(s): Sydney A. Marks Arbitrator(s): Diane M. Perry, Roy B. Gonas, Edward R. Niederriter Hearing Site: Boca Raton, FL
| | $218,600 |
15-02448 | 04/20/2016 | Claimant(s): Janney Montgomery Scott LLC Claimant Lawyers(s): Jill B. Clarke Respondent(s): Frederick Kelleher Respondent Lawyers(s): Frederick Daniel Kelleher Arbitrator(s): Roy B. Gonas Hearing Site: Boca Raton, FL
| | |
15-00378 | 11/09/2015 | Claimant(s): Laurel Ulrich Claimant Lawyers(s): Jon L. Brunenkant Respondent(s): TD Ameritrade. Respondent Lawyers(s): William M. Mann Arbitrator(s): Roy B. Gonas Hearing Site: Boca Raton, FL
| | $23,707 |
13-03713 | 03/06/2015 | Claimant(s): Dawn Marie Fox Amended & Restated Claimant Lawyers(s): Scott D. Hirsch Respondent(s): Investacorp. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Roy B. Gonas, Gary M. Landau, George G. Kurschner Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
12-00188 | 12/02/2013 | Claimant(s): Deborah Stubbs, Harold Thomas, Victoria Smith Claimant Lawyers(s): Andrew V. Tramont, Lawrence A. Kellogg Respondent(s): Jose Valenzuela, PFS Investments Inc. Respondent Lawyers(s): Mark F. Raymond, Richard L. Martens Arbitrator(s): Roy B. Gonas, Lawrence S. Silver, Sidney J. Wartel Hearing Site: Miami, FL
| | $585,908 |
12-00225 | 04/01/2013 | Claimant(s): Victor Alvarez-Mauras Claimant Lawyers(s): Paul Vilaro Nelms Respondent(s): Popular Securities. Respondent Lawyers(s): Alan Wolper Arbitrator(s): Roy B. Gonas, Bernard A. Becker, Daniel P. Lund Hearing Site: San Juan, PR
| | $0 |
10-05078 | 08/28/2012 | Claimant(s): MorseLife Foundation. Claimant Lawyers(s): Steven M. Katzman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Bank & Trust Company, FSB Respondent Lawyers(s): Richard L. Martens Arbitrator(s): Roy B. Gonas, Jeanne Charles Wood, Sidney Turner Hearing Site: Boca Raton, FL
| | Expungement |