| 15-01399 | 01/09/2018 | Claimant(s): Beverly Hunnewell
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Jeffrey Newman, Sarah Burns, Park Avenue Securities LLC
Respondent Lawyers(s): David A. Weintraub, Neil S. Baritz, Z. Logan Gould
Arbitrator(s): Gilbert A. Schnirman, Christopher J. Klein, Glenn Franklin Fuller
Hearing Site: Miami, FL
| | |
| 14-03823 | 10/20/2016 | Claimant(s): Doretta Hennan, Philip Henann
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): National Securities Corporation, Robert Child
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Robert G. Geeseman, Glenn Franklin Fuller
Hearing Site: Miami, FL
|  | Expungement |
| 15-00097 | 06/22/2016 | Claimant(s): John McNicholas, Natalie Illig McNicholas
Claimant Lawyers(s): Justin Sauerwald
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Seth L. Finkel, Gerald Silverman, Glenn Franklin Fuller
Hearing Site: Miami, FL
| | Expungement |
| 14-00821 | 02/18/2015 | Claimant(s): Ileana Platt, Rafael Urquidi
Claimant Lawyers(s): Jacob W. Buchdahl
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Jerrold Levine, Andrea R. Jacobs, Glenn Franklin Fuller
Hearing Site: Miami, FL
| | |
| 12-00949 | 02/20/2013 | Claimant(s): Anthonio Ricatti, Dana Ganci, Gloria Helman, John Ganci, Michael Allard
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter King
Arbitrator(s): Linda M. Granata, Michael A. Levin, Glenn Franklin Fuller
Hearing Site: Ft. Lauderdale, FL
| | Dismissed by Rule 12206 |
