| 11-03929 | 03/04/2014 | Claimant(s): Andrew Miller
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Gary M. Landau, Kathy N. Novick
Hearing Site: Ft. Lauderdale, FL
| | |
| 12-01581 | 02/26/2014 | Claimant(s): Robert Hile, Robert W. Hile, as a JTWROS w/ C.L. Hile
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Karen Z. Fischer, Gerald Silverman, Kimberly A. Gilmour
Hearing Site: Ft. Lauderdale, FL
|  | Expungement |
| 12-01538 | 01/17/2014 | Claimant(s): Elliott Rosenzweig
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Steven Gerard Goerke, Richard W. Epstein, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-03711 | 12/20/2013 | Claimant(s): Barbara Gutman U/A/D 03-09-2000
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy Atkins
Arbitrator(s): Marie G. Peterson
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-03212 | 11/19/2013 | Claimant(s): Douglas Jones
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): Matthew Iak, Westmoreland Capital Corporation
Respondent Lawyers(s): Marissa A. Coheley
Arbitrator(s): Gloria O. North, Raymond W. Snow, Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
| | |
| 11-04052 | 09/09/2013 | Claimant(s): The John L. Mogensen Living Trust
Claimant Lawyers(s): Stephany McLaughlin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Colleen M. Fitzgerald
Arbitrator(s): Gary M. Landau, Jill Pilgrim, Kenneth Herbert Mitchell
Hearing Site: Ft. Lauderdale, 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
| | |
| 13-00550 | 08/13/2013 | Claimant(s): Mustafa Albassam
Claimant Lawyers(s): Mustafa Albassam
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Ellen J. Abrams
Hearing Site: Ft. Lauderdale, FL
| | $13 |
| 12-03710 | 07/29/2013 | Claimant(s): John Smith
Claimant Lawyers(s): John Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Herbert Branitsky, Ellen J. Abrams, Stephen R. Facella
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-02626 | 07/24/2013 | Claimant(s): David Broadwell, David W. Broadwell Revocable Trust
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Gerald Silverman
Hearing Site: Ft. Lauderdale, FL
| | $56,625 |
