| 20-02205 | 09/27/2023 | Claimant(s): Sidney Kruger Living Trust
Claimant Lawyers(s): Jonathan Noble David
Respondent(s): Wells Fargo Advisors, Mara Schainuck, Sharon Miller
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Sydney E. Blum, Mark A Bilawsky
Hearing Site: Boca Raton, FL
|  | Expungement |
| 18-01779 | 08/23/2019 | Claimant(s): George Arthur
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Worden Capital Management
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Mark C. Perry, Sydney E. Blum, Thomas W. Allen
Hearing Site: Boca Raton, FL
| | $0 |
| 16-00629 | 10/18/2018 | Claimant(s): Antonio Gnocchi Franco, Gnocchi Franco Law Offices PSC, Antonio Gnocchi Ret Plan
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Richard S. Zaifert, Julius P. Terrell, Sydney E. Blum
Hearing Site: San Juan, PR
| | $173,537 |
| 17-02171 | 09/27/2018 | Claimant(s): Evan Anish
Claimant Lawyers(s): Evan Sean Anish
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Gregory L. Smith
Arbitrator(s): Tina Scott Polsky, Sydney E. Blum, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 17-00062 | 08/13/2018 | Claimant(s): Guy Gannett Trust FBO Corson/Williams, Guy Gannett Trust FBO J. Gannett, et al
Claimant Lawyers(s): Justin Sauerwald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Richard J. Fuller, Elizabeth A. Townes, Sydney E. Blum
Hearing Site: Tampa, FL
| | Expungement |
| 15-03049 | 11/08/2016 | Claimant(s): Eric Jansson
Claimant Lawyers(s): Jordan D. Maglich
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Patricia Gunn, Maurice M. Feller, Sydney E. Blum
Hearing Site: Tampa, FL
| | |
| 15-00930 | 08/03/2016 | Claimant(s): Alan Greenspan
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): FMSBONDS.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Steven Ira Weinberger, James W. Geiger, Sydney E. Blum
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 15-02927 | 07/28/2016 | Claimant(s): Jack Wolff
Claimant Lawyers(s): Joel Wertman
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Patrick D. King, Gayle B. Carlson, Sydney E. Blum
Hearing Site: Tampa, FL
| | |
| 14-01256 | 05/23/2016 | Claimant(s): Asociacion de Empleados Del Estado Libre
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Peter J. Macdonald, Roberto Quinones
Arbitrator(s): Gerald Silverman, Clement Osimetha, Sydney E. Blum
Hearing Site: San Juan, PR
| | $0 |
| 14-01263 | 10/08/2015 | Claimant(s): Fideicomiso Lalmfc Trust
Claimant Lawyers(s): Lutgardo Acevedo Lopez
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Steven P. Gregory, Harry G. Mason, Sydney E. Blum
Hearing Site: San Juan, PR
| | $0 |
