| 14-01003 | 10/13/2015 | Claimant(s): John Mitsinikos, CKJ Investment Co. Limited Partnership
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): National Securities Corporation, VFinance Investments.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Barth Satuloff, Don R. Harris, Marvin S. Lava
Hearing Site: Boca Raton, FL
|  | Expungement |
| 14-01084 | 06/25/2015 | Claimant(s): Louise Blocker
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Raymond Nardo, Alfreida B. Kenny, John Michael Richardson
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 14-00125 | 06/04/2015 | Claimant(s): Harriett Finkel, Sidney Finkel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Barth Satuloff, Joseph Benalt, David I. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02482 | 05/19/2014 | Claimant(s): Renee Ginsberg, Trustee UAD 3/19/1991
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Barry Ginsberg, Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky,
Arbitrator(s): Lawrence M. Green, Steven Gerard Goerke, Scott Manker
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00904 | 01/06/2014 | Claimant(s): David Shapiro, David Shapiro Trust, Suellen Shapiro Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Investments By Planners.
Respondent Lawyers(s): Allan M. Lerner
Arbitrator(s): Steven R. Reininger, Donald Theodore Ryce, Kenneth J. Gamelin
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00475 | 11/01/2013 | Claimant(s): Juan Ona
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jordan D. Maglich
Arbitrator(s): Emily Eiselman Hunter, Judith B. Ittig, Gerald B. Marcovsky
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 11-02525 | 07/29/2013 | Claimant(s): Estate of Andrew R. Piergeorge, Andrew R. Piergeorge Rev. Living Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Ilisa J. Smukler, Myron E. Levenson, Kenneth Steven Halpern
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03293 | 06/27/2013 | Claimant(s): The Estate of Marie J. Sliwa, Henry J. Sliwa and Marie J. Sliwa Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Kenneth R. Starr, A.J. Seier, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | Expungement |
| 11-03125 | 05/30/2013 | Claimant(s): Bert Nisonoff
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Ted M. Rosen, Denzil J. Klippel, Allan E. Johnson
Hearing Site: New York, NY
| | Expungement |
| 12-02649 | 05/02/2013 | Claimant(s): Sean Fetterman
Claimant Lawyers(s): Jonathan C Schwartz
Respondent(s): Karin Fowler
Respondent Lawyers(s): Bradford M. Gucciardo
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | Expungement |
