| 15-01948 | 02/01/2016 | Claimant(s): Carlos Miranda
Claimant Lawyers(s): Carlos J Miranda-Monroig
Respondent(s): Fairbridge Capital Markets
Respondent Lawyers(s): Eduardo Prado
Arbitrator(s): Randy R. Freedman
Hearing Site: San Juan, PR
| | |
| 14-01578 | 11/24/2015 | Claimant(s): Santander Securities LLC
Claimant Lawyers(s): Carlos George
Respondent(s): David Garcia Cirilo
Respondent Lawyers(s): Enrique Figueroa
Arbitrator(s): Randy R. Freedman, Jeffrey R. Roth, Roberto Olson Cortes
Hearing Site: San Juan, PR
| | |
| 11-01562 | 04/21/2014 | Claimant(s): Barbara Lebovitz
Claimant Lawyers(s): Scott J. Link
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Randy R. Freedman, William W. Bride, Gerald M. Siegel
Hearing Site: Boca Raton, FL
|  | Expungement |
| 12-04045 | 03/27/2014 | Claimant(s): Andrew L. & Sharon M. Rosenberg, White Mountain Sports 401k Plan
Claimant Lawyers(s): Sharon M. Rosenberg
Respondent(s): R. Lawrence, Next Financial Group.
Respondent Lawyers(s): Gary Klein
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
| | $15,311 |
| 11-03827 | 01/18/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Donald Novell
Respondent Lawyers(s): Donald F. Novell
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
| | |
| 12-00768 | 01/18/2013 | Claimant(s): Lillian D'Elia
Claimant Lawyers(s): Lillian D'Elia
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
| | $0 |
| 09-07219 | 10/24/2011 | Claimant(s): Andre Weiss, Andre Weiss as Cust for Sarah Weiss, Andre Weiss as Cust. for Julian P. Weiss
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02906 | 04/08/2011 | Claimant(s): Jay Raubvogel, Seymour Raubvogel, M. Raubvogel Co. Inc. Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): James D. McDonald, Randy R. Freedman, Steven G. Montesi
Hearing Site: Boca Raton, FL
| | $766,935 |
| 09-06768 | 12/01/2010 | Claimant(s): Seymour Lowell and Lee G. Lowell
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Randy R. Freedman, Gloria F. Katz, Mark David Hunter
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 07-02447 | 08/14/2008 | Claimant(s): Bernice Kramer
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Leighton Applefeld
Respondent Lawyers(s): Leighton David Applefeld
Arbitrator(s): Randy R. Freedman, Lanny M. Leff, David Rich
Hearing Site: Boca Raton, FL
| | $1,121,910 |
