| 23-02335 | 06/21/2024 | Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Paul J. Burkhart, Stew Cohen, Jason Zachary Jones
Hearing Site: Boca Raton, FL
| | |
| 22-02649 | 05/24/2024 | Claimant(s): Howard Sproat
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): William Blair & Company L.L.C.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Michael Lau, Paul J. Burkhart, Scott Manker
Hearing Site: Boca Raton, FL
|  | Expungement |
| 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
| | |
| 23-02595 | 02/14/2024 | Claimant(s): NAMCOA - Naples Asset Management Co
Claimant Lawyers(s): Paul J McIntyre
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | |
| 20-01177 | 01/19/2024 | Claimant(s): Cecilia De Oliveira
Claimant Lawyers(s): David Miller
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-00628 | 10/11/2023 | Claimant(s): Heidi Leeds, Laurence Leeds
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-03040 | 07/21/2023 | Claimant(s): Pope Trading LLC
Claimant Lawyers(s): David W. Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Paul J. Burkhart, Peter Shapiro, Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
| | $0 |
| 20-03985 | 09/30/2022 | Claimant(s): Elizabeth Catana, Robert Catana
Claimant Lawyers(s): Matt Wolper
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Paul J. Burkhart, John B. Sochacki, Anthony Terence Flynn
Hearing Site: Boca Raton, FL
| | $850,000 |
| 21-00429 | 01/31/2022 | Claimant(s): Lisbeth Brod
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Paul J. Burkhart, Stephanie Jeannette Charny, Victor Bernard Gent
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-04159 | 10/15/2021 | Claimant(s): Glen Simmonds
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Michael P. Schiff, Paul J. Burkhart, James Michael LaBonte
Hearing Site: Boca Raton, FL
| | |
