24-00654 | 09/17/2024 | Claimant(s): Clinton Wilson Claimant Lawyers(s): Nathan Lamb Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): M W Gear, Ellen J. Abrams, Michael John Florio Hearing Site: Boca Raton, FL
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22-01403 | 04/27/2023 | Claimant(s): Myung Won Claimant Lawyers(s): Myung Won Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anastasia B. Wohar Arbitrator(s): Anthony D. DeToro, Michael John Florio, Ellie Vilendrer Hearing Site: Los Angeles, CA
| | $0 |
19-02832 | 11/07/2022 | Claimant(s): Abrahm Family Trust Claimant Lawyers(s): Jacob Zamansky Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Patrick M. Smith Arbitrator(s): Joseph C. Watson, Robert B. Hansohn, Michael John Florio Hearing Site: Los Angeles, CA
| | Expungement |
21-00004 | 06/02/2022 | Claimant(s): Paul R. Hutchinson SEP IRA, Paul Hutchinson Jr Living Tr DTD 6/26/91 Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): Morgan Stanley Respondent Lawyers(s): Kathleen Salvaty Arbitrator(s): Michael John Florio, Joseph Francis Young, Julia Ulloa Hearing Site: Los Angeles, CA
| | Expungement |
21-03098 | 04/29/2022 | Claimant(s): Mau Cong Claimant Lawyers(s): Mau Cong Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Michael John Florio Hearing Site: Los Angeles, CA
| | $0 |
19-03776 | 08/18/2021 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Jessica Klein Respondent(s): Leo Eastman Respondent Lawyers(s): Leo Otto Eastman Arbitrator(s): Michael John Florio Hearing Site: Las Vegas, NV
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19-02741 | 03/04/2021 | Claimant(s): Jonathan Siegel Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Timothy N. Will Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio Hearing Site: Los Angeles, CA
| | Expungement |
16-02244 | 01/21/2020 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kevin J. Woods Respondent(s): Justin McDonald Respondent Lawyers(s): Joshua A. Cohen Arbitrator(s): Michael John Florio Hearing Site: Los Angeles, CA
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17-00294 | 05/17/2019 | Claimant(s): Harold Hermelee, Ian Smith, Peter Harrison, Tad Dahlke Claimant Lawyers(s): Joel Levin Respondent(s): Gary Wunderlich, Lionel Conacher, Philip Zanone, Wunderlich Investment., Wunderlich Securities. Respondent Lawyers(s): Mark Griffin Arbitrator(s): Joseph Winter, Michael John Florio, Alan Stanley Petlak Hearing Site: Los Angeles, CA
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16-00399 | 06/08/2018 | Claimant(s): Robynn Dorffi, Wesley Dorffi, Dorffi Family Trust dated 12/19/2003 Claimant Lawyers(s): Bradd L. Milove Respondent(s): David Snyder, Morgan Stanley & Co. Respondent Lawyers(s): Lisa Bertain Arbitrator(s): Arthur T. Berggren, Michael John Florio, Michael Richard Henri Post Hearing Site: Los Angeles, CA
| | $0 |