| 19-03148 | 12/22/2021 | Claimant(s): Scort, C.A.
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley, Paquita Holder
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Mark C. Perry, Daniel Joseph Chiodo, Mary C. Walsh
Hearing Site: Boca Raton, FL
|  | Expungement |
| 20-03002 | 10/15/2021 | Claimant(s): Marko Rendic
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): Mark C. Perry
Hearing Site: San Juan, PR
| | |
| 20-01513 | 03/29/2021 | Claimant(s): Arthur Lewis
Claimant Lawyers(s): Joshua Katz
Respondent(s): CIBC World Markets Corp., Oppenheimer & Co.., Aegis Capital Corp.
Respondent Lawyers(s): Elizabeth R. Aylett, Justin D. Dickinson, Timothy Treble
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
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| 19-03436 | 03/27/2020 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Dennis Hayes
Respondent Lawyers(s): Dennis Allen Hayes
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
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| 19-02796 | 03/24/2020 | Claimant(s): Marc Silverman
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | |
| 19-00035 | 10/24/2019 | Claimant(s): Francesco Traina
Claimant Lawyers(s): Michelle M. Atlas
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | |
| 19-00835 | 09/13/2019 | Claimant(s): Austin Frye
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplan
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | |
| 18-01779 | 08/23/2019 | Claimant(s): George Arthur
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Worden Capital Management
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Mark C. Perry, Sydney E. Blum, Thomas W. Allen
Hearing Site: Boca Raton, FL
| | $0 |
| 18-04306 | 07/17/2019 | Claimant(s): Richard Kiesel
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America., Kestra Investment Services
Respondent Lawyers(s): David J. Lehr, Tyler Schubauer
Arbitrator(s): Mark C. Perry, Steven M. Greenbaum, Carl Shechter
Hearing Site: Boca Raton, FL
| | |
| 18-04098 | 05/22/2019 | Claimant(s): Veronica Gillotte
Claimant Lawyers(s): Veronica Gillotte
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brian P. Harlan
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
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