| 20-03199 | 05/14/2021 | Claimant(s): Anthony Scaglione
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 18-01243 | 06/04/2019 | Claimant(s): Colleen Schuhmann
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 18-01452 | 04/19/2019 | Claimant(s): Alfred Bonardi
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): Morgan Stanley DW Inc., Oppenheimer & Co.., Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Gina Shlaferman, Joelle A. Simms, John T. McGuire, Randi Perry Spallina
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 18-00450 | 10/18/2018 | Claimant(s): Sean Mollard
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 17-00867 | 03/14/2018 | Claimant(s): Dirk Rabenold
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): Kerry Montgomery, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Robert Rex
Arbitrator(s): Robert A. Sauerberg, Elena G. Rodriguez, Richard W. Epstein
Hearing Site: Boca Raton, FL
|  | Expungement |
