| 14-03523 | 09/25/2015 | Claimant(s): Daniel Rosenberg
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Richard W. Epstein, David E. Mowry, Andrew Jay Kohan
Hearing Site: Boca Raton, FL
| | |
| 14-01221 | 12/24/2014 | Claimant(s): Douglas Adams
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Robert A. Sauerberg, David E. Mowry, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 12-02585 | 04/30/2014 | Claimant(s): Deanna Bresky
Claimant Lawyers(s): George G. Kurschner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Bruce K. Isenberg, David E. Mowry, Myron E. Levenson
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-00443 | 12/12/2012 | Claimant(s): Hugo R. Scala Jr. Rollover IRA, Scala Family Limited Partnership, Hugo R Scala Gift Trust DTD 12/23/1966, Hugo R. Scala Jr. Trust DTD 7/28/03
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Charles Hoffman, David E. Mowry, Alexander Myers
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-01314 | 08/26/2009 | Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Joseph Aiello
Respondent Lawyers(s): Joseph John Aiello
Arbitrator(s): David E. Mowry
Hearing Site: Boca Raton, FL
| | |
