| 22-02415 | 07/26/2024 | Claimant(s): BG Strategic Advisors, BGSA Holdings
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Ryan Kuhn
Respondent Lawyers(s): Peter T. Mavrick
Arbitrator(s): Avery B. Goodman, Stephen Gregg Ellis, Danny Lynn Ingram
Hearing Site: Boca Raton, FL
| | |
| 19-02079 | 11/30/2021 | Claimant(s): Joe King, Lynn Faust, Michael Faust
Claimant Lawyers(s): Debra A. Jenks, Marc S. Dobin
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Suzanne E. Reynolds-Brady, Cindy L. Anderson, Meeta Alberta Bass
Hearing Site: Tampa, FL
| | |
| 18-02477 | 08/29/2019 | Claimant(s): Edelgard Hosmer Trust U/A dated 5/1/07, Edward J. Hosmer, Edward J. Hosmer Trust U/A dated 5/1/07
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Roger C. Benson, David M. Snyder, Richard Manuel Barcia
Hearing Site: Tampa, FL
|  | $100,000 |
| 18-00095 | 04/17/2019 | Claimant(s): James Carey
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Joseph I. Goldstein, Cindy L. Anderson, Mary Ann Etzler
Hearing Site: Orlando, FL
| | $0 |
| 15-02068 | 03/14/2017 | Claimant(s): Laura Birzell, Mark Birzell
Claimant Lawyers(s): John A. Bender, Kristin Nealey Meier
Respondent(s): Nicholas Hodges, Money Concepts Capital Corp.
Respondent Lawyers(s): Gabriel Z. Reynoso, Marc S. Dobin
Arbitrator(s): Laurel Littman Gothelf, John M. Casey, Kate Jacobson
Hearing Site: Seattle, WA
| | Expungement |
| 16-02560 | 03/02/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): William Fritz
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 12-03975 | 04/23/2014 | Claimant(s): Barbara Unger, Barbara J. Unger Rev. Trust dtd 12/20/02
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Janet N. Smiles, Stuart Harvey Ziegler, David Rich
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03618 | 07/08/2013 | Claimant(s): Sandra Meisenzahl, Leonard B. Meisenzahl Trust, Sandra Meisenzahl Revocable Living Trust
Claimant Lawyers(s): W. Scott Turnbull
Respondent(s): Gerald Fasanella, Mutual Service Corporation, AIG Financial Advisors., Next Financial Group.
Respondent Lawyers(s): Craig A. Vollono, Fred N. Knopf, Marc S. Dobin, Peter B. King
Arbitrator(s): Steven Gerard Goerke, William Kent Brown, Lee Alan Rosenblum
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01026 | 06/18/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Patrick J. Whalen
Respondent(s): Kenneth Williams
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Thomas B. Phillips, M. W. Gear, Walter N. Vernon
Hearing Site: Kansas City, MO
| | |
| 11-01914 | 01/04/2013 | Claimant(s): Gregory Torretta
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Marguerite B. Filson, Paul S. Biederman, Joel Morton Newman
Hearing Site: New York, NY
| | |
