| 17-01581 | 11/20/2018 | Claimant(s): Elizabeth Thomas
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Diane M. Perry, William Kent Brown, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
|  | Expungement |
| 17-00373 | 11/21/2017 | Claimant(s): Jeremy Gottlieb
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William Kent Brown, William E. Schneider, Alisa Matire
Hearing Site: Boca Raton, FL
| | |
| 16-00339 | 05/16/2017 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Ginny Neal
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Jay L. Valinsky, Gloria O. North, William Kent Brown
Hearing Site: Boca Raton, FL
| | |
| 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 |
| 11-00087 | 10/30/2012 | Claimant(s): Marvin Adler, Theda Adler, The Theda Adler Trust U/A/D 1/15/97
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau, Randi Perry Spallina
Arbitrator(s): Kalman J. Lester, William Kent Brown, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-00933 | 02/24/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Richard Plevy
Respondent Lawyers(s): Adam D. Palmer
Arbitrator(s): Jeffrey C. Thompson, Ilisa J. Smukler, William Kent Brown
Hearing Site: Boca Raton, FL
| | |
