| 23-00005 | 10/04/2024 | Claimant(s): Harry Pappas
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Casey Middleton, Wells Fargo Clearing Services
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): William Kent Brown, David Robert Coughlin, Jeff Cappelletti
Hearing Site: Boca Raton, FL
| | |
| 23-01783 | 01/12/2024 | Claimant(s): Ghiass Ali, Sunshine Financial Solutions of South FL
Claimant Lawyers(s): Demetrios Pavlou
Respondent(s): Scott Storick
Respondent Lawyers(s): Scott R. Storick
Arbitrator(s): William Kent Brown
Hearing Site: Boca Raton, FL
| | |
| 23-01104 | 12/19/2023 | Claimant(s): Mark Matthes
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Paul Weinberg, William Kent Brown, Tiffany Ann Taylor
Hearing Site: Boca Raton, FL
| | |
| 21-02571 | 09/14/2023 | Claimant(s): Harold Mellin as Trustee, Suzanne Mellin as Trustee
Claimant Lawyers(s): Andrew M. Greenidge
Respondent(s): Faith Xenos, Mariner
Respondent Lawyers(s): Howard J. Rosenburg
Arbitrator(s): Monica I. Salis, William Kent Brown, Daniel Nathan Schatz
Hearing Site: Boca Raton, FL
|  | Expungement |
| 22-01356 | 08/22/2023 | Claimant(s): Fondo De Inversion Privado FRC, Inversiones Don Fernando Spa
Claimant Lawyers(s): Jason P. Gottlieb
Respondent(s): CGIS Securities LLC
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): William Kent Brown, Ellen J. Abrams, Michael Adam Gross
Hearing Site: Boca Raton, FL
| | $0 |
| 20-03025 | 05/24/2022 | Claimant(s): Allan Varah
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeff Goldman
Arbitrator(s): William Kent Brown, Arlene Simon Backman
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02747 | 04/20/2022 | Claimant(s): Aziz Ali
Claimant Lawyers(s): Aziz A. Ali
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): William Kent Brown
Hearing Site: Boca Raton, FL
| | $0 |
| 21-01874 | 03/16/2022 | Claimant(s): Javier Garcia
Claimant Lawyers(s): Javier Garcia
Respondent(s): UBS International Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): William Kent Brown, Virginia Lee Perez-Berry, Scott Joseph Pagano
Hearing Site: Boca Raton, FL
| | |
| 21-01164 | 02/22/2022 | Claimant(s): Stephen Brown
Claimant Lawyers(s): Craig Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): William Kent Brown, Will Murphy, Tina Scott Polsky
Hearing Site: Boca Raton, FL
| | |
| 18-00915 | 12/14/2018 | Claimant(s): Herbert Moskowitz & Marilyn Moskowitz
Claimant Lawyers(s): Herbert Moskowitz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): William Kent Brown, Ellen J. Abrams, Marvin S. Lava
Hearing Site: Boca Raton, FL
| | $75,000 |
