| 20-01399 | 06/08/2022 | Claimant(s): Dana King
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): LPL Financial LLC, Bryan Shevak
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nancy J. Cliff, Daniel H. Yaffe, Gloria O. North
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-01518 | 01/25/2022 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Jennifer Sackett, Timothy Sackett
Respondent Lawyers(s): Jennifer Sackett, Timothy W. Sackett
Arbitrator(s): Daniel H. Yaffe, Louis David Huss, Steven Moore
Hearing Site: Boca Raton, FL
| | |
| 18-03580 | 03/09/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Adam Schachter
Respondent Lawyers(s): Adam Craig Schachter
Arbitrator(s): Steven R. Reininger, Daniel H. Yaffe, Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | |
| 16-01544 | 02/12/2019 | Claimant(s): Michael Cohen
Claimant Lawyers(s): Scott M. Behren
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Barry Temkin
Arbitrator(s): Daniel H. Yaffe, Monroe Mitchel, Ronald Stephen Lieberman
Hearing Site: Boca Raton, FL
| | |
| 17-00252 | 06/23/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Matthew Gaer
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Daniel H. Yaffe, Paul Weinberg, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 13-03530 | 06/25/2015 | Claimant(s): Oscar Zuniga
Claimant Lawyers(s): Harold Vicente-Colon
Respondent(s): Carlos Ubinas Taylor, Doel Garciaromero, Jose Crescioni, UBS Financial Services Inc., UBS Financial Services Inc of PR
Respondent Lawyers(s): Carlos A. Valldejuly-Sastre, Joelle Simms, Leslie Y. Flores-Rodriguez, Mauricio O. Muniz-Luciano, Roberto C. Quinones
Arbitrator(s): Daniel H. Yaffe, Barry David Thorpe, Harry G. Mason
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02534 | 03/11/2014 | Claimant(s): William Spalding
Claimant Lawyers(s): Stephen E. Hudson
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Daniel H. Yaffe, Richard S. Zaifert, Laura A. Ledford
Hearing Site: Atlanta, GA
| | |
| 08-00990 | 01/13/2014 | Claimant(s): Lehman Brothers Inc
Claimant Lawyers(s): Jennifer Hwang
Respondent(s): Jason Kraskiewicz
Respondent Lawyers(s): Jason Kraskiewicz
Arbitrator(s): Alexander I. Heckman, Daniel H. Yaffe, Mark I. Scheinbaum
Hearing Site: Boca Raton, FL
| | |
| 09-01915 | 09/03/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Wilfredo Colon
Respondent Lawyers(s): Wilfredo Colon
Arbitrator(s): Daniel H. Yaffe
Hearing Site: Miami, FL
| | |
| 08-01472 | 10/29/2008 | Claimant(s): Citigroup Global Markets., Citigroup Golbal Markets Holdings.
Claimant Lawyers(s): Jennifer Blunt
Respondent(s): Carlos Shibata
Respondent Lawyers(s): Carlos A. Shibata
Arbitrator(s): Daniel H. Yaffe, Laura Jeanette Cognetti, Doug Campbell
Hearing Site: Miami, FL
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