| 14-00829 | 06/15/2016 | Claimant(s): Keith Melton, CUB Melton Properties, Confidential Communications Consultants, H.K.M. Investments., H.K.M. Nevada, LTD, Melton Management., The H. Keith Melton Grantor Trust
Claimant Lawyers(s): Andrew Mytelka, Jeannie Urbani
Respondent(s): Amie Thompson, Kim Isaacson, Morgan Stanley, Paul Shoemaker
Respondent Lawyers(s): Beth A. Black, Daniel D. Hill
Arbitrator(s): Carl Shechter, Lisa Marie Macci, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
|  | $3,586,990 |
| 14-02634 | 11/16/2015 | Claimant(s): Harold Kornblum
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee
Arbitrator(s): Carl Shechter, David Rich, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02282 | 05/29/2015 | Claimant(s): Kirsten Nielsen
Claimant Lawyers(s): Kirsten A. Nielsen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Richard W. Epstein, Carl Shechter, Edward Arthur Horton
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03245 | 12/05/2014 | Claimant(s): Robert Schneider, RBB
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi, Senior Counsel
Arbitrator(s): Carl Shechter, Don R. Harris, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00452 | 05/02/2014 | Claimant(s): Carluco Investments Limited
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Carl Shechter, Steven E. Eisenberg, James Michael LaBonte
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03795 | 04/07/2014 | Claimant(s): Susan Gurfein
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Carl Shechter, Edward R. Niederriter, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01880 | 06/24/2013 | Claimant(s): Andrea McMillan, Estate of Joan McMillan
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): Brent Deviney
Respondent Lawyers(s): Brent K. Deviney
Arbitrator(s): Carl Shechter, William R. Alheim, Will Murphy
Hearing Site: Boca Raton, FL
| | $983,199 |
| 11-02444 | 05/15/2013 | Claimant(s): Alina Bolano, Andres Bolano
Claimant Lawyers(s): Lawrence A. Kellogg
Respondent(s): Michael Anton, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Carl Shechter, Stephen I. Gilman, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02937 | 05/04/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Brodie
Respondent(s): Jonathan Berstein
Respondent Lawyers(s): Carl F. Schoeppl
Arbitrator(s): Carl Shechter, Kevin S. Doty, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
| | |
| 10-00470 | 09/14/2011 | Claimant(s): Muriel Egan
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Rose M. Schindler
Arbitrator(s): Ronald F. Rohe, Charles Hoffman, Carl Shechter
Hearing Site: Boca Raton, FL
| | Stipulated Award |
