20-02723 | 06/09/2021 | Claimant(s): Joshua Klump Claimant Lawyers(s): Harris Freedman Respondent(s): Fifth Third Securities. Respondent Lawyers(s): Samuel Gilley Arbitrator(s): Carl Shechter Hearing Site: Boca Raton, FL
| | |
20-01981 | 03/12/2021 | Claimant(s): Andrew Lerner Claimant Lawyers(s): Cory S. Zadanosky Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Justin D. Dickinson Arbitrator(s): Carl Shechter Hearing Site: Boca Raton, FL
| | |
20-01563 | 11/20/2020 | Claimant(s): Barbara Ciany-Murray Claimant Lawyers(s): Barbara M. Ciany-Murray Respondent(s): Robert Turley, Independent Financial Group. Respondent Lawyers(s): Sarah J. Kreisman Arbitrator(s): Carl Shechter Hearing Site: Boca Raton, FL
| | $0 |
20-00955 | 10/27/2020 | Claimant(s): Juan Carlos Freile Franco Claimant Lawyers(s): Coren H. Stern Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Omari L. Mason Arbitrator(s): Carl Shechter Hearing Site: Boca Raton, FL
| | |
20-00446 | 07/23/2020 | Claimant(s): Michael Kelleher, Peter Caruso Claimant Lawyers(s): Nisha S. Wright Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Carl Shechter, Robert G. Falbisaner, Robert John Harvey Hearing Site: Boca Raton, FL
| | |
19-03843 | 05/29/2020 | Claimant(s): Darren Nomberg, Gerard Crean Claimant Lawyers(s): Michael Shannon Respondent(s): David Lerner Associates. Respondent Lawyers(s): Amalia Chin Arbitrator(s): Carl Shechter Hearing Site: Boca Raton, FL
| | Expungement |
19-00645 | 12/27/2019 | Claimant(s): Gustavo Carvajal Claimant Lawyers(s): Josef Y. Rosen Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Carl Shechter Hearing Site: Boca Raton, FL
| | |
19-00324 | 10/02/2019 | Claimant(s): Christopher Nichols Claimant Lawyers(s): Matthew E. Wolper Respondent(s): LPL Financial LLC, Lincoln Financial Securities Corporation Respondent Lawyers(s): Jon D. Kaplon, Michael W. Arnold Arbitrator(s): Carl Shechter Hearing Site: Boca Raton, FL
| | |
19-00019 | 09/10/2019 | Claimant(s): Francesco Traina Claimant Lawyers(s): Michelle M. Atlas Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Carl Shechter Hearing Site: Boca Raton, FL
| | |
18-04306 | 07/17/2019 | Claimant(s): Richard Kiesel Claimant Lawyers(s): Elaine M. Rice Respondent(s): Securities America., Kestra Investment Services Respondent Lawyers(s): David J. Lehr, Tyler Schubauer Arbitrator(s): Mark C. Perry, Steven M. Greenbaum, Carl Shechter Hearing Site: Boca Raton, FL
| | |