| 14-03278 | 06/24/2015 | Claimant(s): Marcel Rosen
Claimant Lawyers(s): Marcel Rosen
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
|  | $0 |
| 13-00505 | 06/10/2015 | Claimant(s): Adam M. Susser Special Needs Irrev. Trst
Claimant Lawyers(s): Leonard Haberman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Monica I. Salis, Will Murphy, Martin M. Van Luven
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-00419 | 05/06/2015 | Claimant(s): Jose Segarra, Mabel Garcia De Segarra
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): Carlos Ubinas, UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Edwin A. Zipf, Roberto Quinones, Salvador J. Antonetti
Arbitrator(s): Monica I. Salis, Mimi B. Osiason, Stuart K. Furman
Hearing Site: San Juan, PR
| | Expungement |
| 14-01847 | 04/29/2015 | Claimant(s): Michael McGraw
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Peter Bruno, Wall Street Money Center Corp.
Respondent Lawyers(s): Peter Bruno
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $125,000 |
| 12-03257 | 07/25/2014 | Claimant(s): Julie Castillo
Claimant Lawyers(s): Randall C. Place
Respondent(s): LPL Financial LLC, Jeffrey Callan
Respondent Lawyers(s): Craig R. Glasser, Kip A. Nesmith
Arbitrator(s): Monica I. Salis, Jay L. Valinsky, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 13-00793 | 06/13/2014 | Claimant(s): Jorge Gutierrez
Claimant Lawyers(s): David I. Greenberger
Respondent(s): Jason Barger, Schroder Fund Advisors LLC
Respondent Lawyers(s): Stephen Asay, Thomas Hill
Arbitrator(s): Monica I. Salis, Michael Todd Clements, James M. Scutti
Hearing Site: Miami, FL
| | |
| 13-00520 | 02/04/2014 | Claimant(s): Richard Zimmelman
Claimant Lawyers(s): Richard Zimmelman
Respondent(s): Benjamin St. John, Margret Carswell, Stephen Mandeville, USAA Investment Management Company
Respondent Lawyers(s): Theodore C. Schultz
Arbitrator(s): Monica I. Salis
Hearing Site: Miami, FL
| | $38 |
| 13-01916 | 01/30/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Colleen Cowan
Respondent Lawyers(s): Michael D. Kennedy
Arbitrator(s): Monica I. Salis
Hearing Site: Miami, FL
| | |
| 12-02715 | 12/04/2013 | Claimant(s): J Goldsmith, Katherine Goldsmith
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Monica I. Salis, Steven Ira Weinberger, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03244 | 05/31/2013 | Claimant(s): Robert Adams
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Monica I. Salis
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
