| 14-03385 | 08/17/2015 | Claimant(s): Michele Kief
Claimant Lawyers(s): Kathy M. Klock
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
| | |
| 13-02784 | 11/18/2014 | Claimant(s): Richard Polakoff, Dr. Richard Polakoff Defined Benefit Pen
Claimant Lawyers(s): Kristen Lake Cardoso
Respondent(s): Benjamin London, Dwight Campbell
Respondent Lawyers(s): Erin K. Linehan, Gregg J. Breitbart
Arbitrator(s): Frances D. Sheehy, Gloria O. North, Michael Barry Bloom
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-01245 | 07/16/2014 | Claimant(s): Kevin McCluskey
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Gloria O. North, Mitchell F. Colen
Hearing Site: Boca Raton, FL
| | |
| 12-02881 | 06/05/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Barry Axler
Respondent Lawyers(s): Marc Durant
Arbitrator(s): Allen Kilik, Gloria O. North, Soraya Maria Figueiredo
Hearing Site: Boca Raton, FL
| | |
| 13-00703 | 12/02/2013 | Claimant(s): Perry Pinhas
Claimant Lawyers(s): Perry J. Pinhas
Respondent(s): Armen Karapetyan
Respondent Lawyers(s): Armen Karapetyan
Arbitrator(s): Gloria O. North
Hearing Site: Miami, FL
| | |
| 12-03212 | 11/19/2013 | Claimant(s): Douglas Jones
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): Matthew Iak, Westmoreland Capital Corporation
Respondent Lawyers(s): Marissa A. Coheley
Arbitrator(s): Gloria O. North, Raymond W. Snow, Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
| | |
| 12-01481 | 08/13/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Jay Golden
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Gloria O. North, Mark I. Roth, Andrew R. Present
Hearing Site: Ft. Lauderdale, FL
| | |
| 12-00821 | 09/18/2012 | Claimant(s): I Rotmil TTE, for The Annette Rotmil IRA
Claimant Lawyers(s): Robert L. Rotmil
Respondent(s): Norman Robbins, Summit Brokerage Services.
Respondent Lawyers(s): Michael J. Lang
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
| | $44 |
| 10-00840 | 07/06/2012 | Claimant(s): Gustavo Kogan, Jorge Braver, Ralif Limited, Triac Enterprises Limited
Claimant Lawyers(s): Jeffrey L. Cox
Respondent(s): EFG Capital International Corp.
Respondent Lawyers(s): Ivan P. Harris
Arbitrator(s): George W. Rodormer, Gloria O. North, Soraya Maria Figueiredo
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 10-05543 | 07/02/2012 | Claimant(s): DeJohn Family LLLP
Claimant Lawyers(s): Garry W. O'Donnell
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Gloria O. North, Marc T. Danon, Richard Adam Sachs
Hearing Site: Boca Raton, FL
| | $0 |
