| 18-03864 | 07/31/2019 | Claimant(s): Julie Castillo
Claimant Lawyers(s): Julie Hermes Castillo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Allen Kilik, Robert Lawrence Ostrov, Tiffany Jeanette Brown
Hearing Site: Boca Raton, FL
| | |
| 16-02742 | 05/09/2019 | Claimant(s): Corey Daniels
Claimant Lawyers(s): Corey Darnell Daniels
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Allen Kilik, Jon Stanley Spisiak, Sidney Turner
Hearing Site: Boca Raton, FL
| | |
| 17-01610 | 11/30/2018 | Claimant(s): Page Rowe
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Independent Financial Group
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Allen Kilik
Hearing Site: Boca Raton, FL
|  | Expungement |
| 17-00640 | 07/31/2018 | Claimant(s): David Riker, Lynne Baldwin
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Allen Kilik, Monroe Mitchel, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-00306 | 04/18/2017 | Claimant(s): Revocable Trust of Samuel M. Fineman
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Allen Kilik, Peter A. Portley, Lisa Jane Austein
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02429 | 09/19/2016 | Claimant(s): William Langfan
Claimant Lawyers(s): William K. Langfan
Respondent(s): Citigroup Global Markets., Morgan Stanley, Scott Sade
Respondent Lawyers(s): George D. Sullivan, Peter B. King
Arbitrator(s): Allen Kilik, Lisa Marie Macci, Steven G. Montesi
Hearing Site: Boca Raton, FL
| | Expungement |
| 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
| | |
| 09-03002 | 03/14/2011 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): Morgan Keegan & Company., Todd Rozzo
Respondent Lawyers(s): Charles M. Dalziel, Marc S. Dobin
Arbitrator(s): Allen Kilik, Ellen J. Abrams, Ronald J. Kovack
Hearing Site: Boca Raton, FL
| | |
| 09-01777 | 09/02/2009 | Claimant(s): FBO MRK Rev. Trust by Myles Klein Ttte
Claimant Lawyers(s): Myles Klein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Allen Kilik
Hearing Site: Boca Raton, FL
| | $0 |
