| 22-02533 | 10/22/2024 | Claimant(s): Bruce Gallagher, Kathleen Gallagher, on behalf of his IRA, on behalf of her IRA, Bruce and Kathleen Gallagher, jointly
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Richard S. Zaifert, David M. Snyder, Carolyn E. Moore
Hearing Site: Tampa, FL
|  | Expungement |
| 23-02490 | 09/13/2024 | Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Jerrold E. Slutzky, Kenneth R. Starr, Carolyn E. Moore
Hearing Site: Tampa, FL
| | |
| 23-02819 | 05/23/2024 | Claimant(s): David Hanvey
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carolyn E. Moore
Hearing Site: Tampa, FL
| | |
| 22-02215 | 04/26/2024 | Claimant(s): Gilda Scharf for her IRA, Stanley Scharf for his IRA, Stanley Scharf and Gilda Scharf
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Seth L. Finkel, Edward R. Niederriter, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02993 | 03/13/2023 | Claimant(s): Sheila Gambrel, The Jean O. King Trust
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard S. Zaifert, Gary E. Marcus, Carolyn E. Moore
Hearing Site: Tampa, FL
| | $0 |
| 17-03426 | 10/29/2018 | Claimant(s): Lesley Blackner, Richard Stone
Claimant Lawyers(s): Sigmund S. Wissner-Gross
Respondent(s): Benjamin Foster, James Ertmann, John Cregan
Respondent Lawyers(s): Christopher Duffy
Arbitrator(s): Cheryl E. Winton, Marie G. Peterson, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-03269 | 02/28/2018 | Claimant(s): Bertram Tamarkin, Bernita Tamarkin Estate Tax Shelter, Bertram Tamarkin Trust U/A DTD
Claimant Lawyers(s): Jared A. Levy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stephan M. Louviere
Arbitrator(s): Lawrence M. Green, Richard J. Kaplan, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02780 | 10/24/2017 | Claimant(s): Kwok Cheung
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., Roger Lam
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Will Murphy, Carolyn E. Moore, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02725 | 05/05/2017 | Claimant(s): Nattura CV
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Stephen Kahane, Carolyn E. Moore, Lawrence C. Levey
Hearing Site: Miami, FL
| | Expungement |
| 15-00880 | 11/04/2016 | Claimant(s): Deborah Adeimy
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janelle M. Ahnert
Arbitrator(s): James W. Geiger, Carolyn E. Moore, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | |
