| 20-00336 | 05/17/2024 | Claimant(s): Eduardo Augsten, as S.H. Wealthengage, Wealthengage.
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Gustavo Vega
Respondent Lawyers(s): Javier J. Rodriguez
Arbitrator(s): Paul J. Burkhart, Marie Katz, Franchesca Caminero
Hearing Site: Boca Raton, FL
| | |
| 20-01331 | 06/10/2022 | Claimant(s): Jose Antonio Lamas Revocable Trust
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Ronald J. Tomassi
Arbitrator(s): Michael J. Quarequio, Kevin A. Llinas, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
|  | Expungement |
| 18-02097 | 11/06/2020 | Claimant(s): Jane Zhao, Richard Anderson
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Edward R. Niederriter, Will Murphy, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Settlement |
| 18-04053 | 01/21/2020 | Claimant(s): Barry Cooper
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Andrew Murdoch, Brian Horn, Scott Sadar, Thomas Hamlin, Somerset Securities.
Respondent Lawyers(s): Harris Freedman, Scott L. Mullins, Thomas Hamlin
Arbitrator(s): Muriel Desloovere, Gerald Thomas Harper, David Henry Samson
Hearing Site: Jacksonville, FL
| | $0 |
| 19-01860 | 12/30/2019 | Claimant(s): Larry Longhi
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): James Ray
Respondent Lawyers(s): James William Ray
Arbitrator(s): Nicholas John Taldone, Gayle B. Carlson, Isaac D. East
Hearing Site: Jacksonville, FL
| | $159,300 |
| 15-02316 | 08/29/2018 | Claimant(s): Iris Burgos-Rodriguez, Jose Diaz-Burgos, Jose Diaz-Martinez, Nellie Aponte-Flecha
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis, Joel M. Everest
Arbitrator(s): David Edward Upton, Debra Black Leo, Ronald L. Goss
Hearing Site: San Juan, PR
| | $300,000 |
| 17-01645 | 03/27/2018 | Claimant(s): R. Paul Smith Trust
Claimant Lawyers(s): Sally Ann Hostetler
Respondent(s): Patrick Dwyer
Respondent Lawyers(s): Jeffrey R. Sonn
Arbitrator(s): Todd M. Saunders, Louis David Huss, Michael B Goldstein
Hearing Site: Miami, FL
| | Expungement |
| 16-02781 | 07/20/2017 | Claimant(s): Patrick Dwyer
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Steven N. Ainbinder, Barry David Thorpe, Keith Robert Santillo
Hearing Site: Miami, FL
| | |
| 15-00046 | 06/28/2016 | Claimant(s): John Hamann, Peggy Hamann
Claimant Lawyers(s): Gary S. Menzer, Jeffrey R. Sonn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Charles Scott McClellan, Clydia Jean Cuykendall, Joel I. Beerman
Hearing Site: Seattle, WA
| | Expungement |
| 12-01497 | 09/08/2015 | Claimant(s): Thomas Strouse
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Linda M. Granata, Elena G. Rodriguez, Martin M. Van Luven
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
