| 23-01347 | 11/24/2023 | Claimant(s): Steven Hein
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Richard W. Epstein, Scott A. Eichhorn, Ellen Jane Vaughan
Hearing Site: Boca Raton, FL
| | |
| 22-02033 | 06/06/2023 | Claimant(s): Molly Shrauner
Claimant Lawyers(s): Harris Freedman
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
| | |
| 21-03083 | 07/20/2022 | Claimant(s): Estate of Nicole B. Reuben
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Mark C. Perry, Richard W. Epstein, Mark David Hunter
Hearing Site: Boca Raton, FL
|  | Expungement |
| 20-01957 | 07/01/2021 | Claimant(s): Jerome Axelrod
Claimant Lawyers(s): Curtis D. Carlson
Respondent(s): SunTrust Investment Services., SunTrust Advisory Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Richard W. Epstein, Richard Kuper, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | $200,000 |
| 18-00048 | 01/21/2021 | Claimant(s): Ann Tutundjian, John Mugan, Susan Tutundjian-Mugan
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Meah Rothman Tell, Richard W. Epstein, Marvin S. Lava
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-04136 | 12/11/2019 | Claimant(s): Robin Davis
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Amy S. Towle
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
| | |
| 18-00529 | 10/30/2018 | Claimant(s): Leigh Mielke & Mark S. Mielke
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Matthew Eckstein
Respondent Lawyers(s): Matthew Evan Eckstein
Arbitrator(s): Richard W. Epstein, Mark A Bilawsky, Ronald Stephen Robins
Hearing Site: Boca Raton, FL
| | $471,910 |
| 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 |
| 17-00853 | 02/12/2018 | Claimant(s): Craig Price
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Frederick P. Hartman, Richard W. Epstein, Gilbert A. Schnirman
Hearing Site: Boca Raton, FL
| | |
| 15-01204 | 12/01/2017 | Claimant(s): John Mulcahy
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Joseph Gieker, Keith Gregg, Capital Guardian
Respondent Lawyers(s): Sandro L. Ramos, Tina El Fadel
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
| | |
