| 19-00636 | 11/18/2020 | Claimant(s): Barbara Brody Revocable Trust, Richard Brody Revocable Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Leslie L. Cooney, Will Murphy, Linda M. Foster-Wells
Hearing Site: Boca Raton, FL
|  | $0 |
| 20-01784 | 11/12/2020 | Claimant(s): Terrence Singh
Claimant Lawyers(s): Terrence A. Singh
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): Kiran V. Somashekara
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | |
| 19-03717 | 07/22/2020 | Claimant(s): Gonzalo Castano
Claimant Lawyers(s): Joelle A Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebbish
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | |
| 19-02555 | 06/01/2020 | Claimant(s): Michael Cowan
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Advisors Financial Network, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Demian J. Betz
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | |
| 18-00264 | 11/07/2019 | Claimant(s): Guillermo Castro
Claimant Lawyers(s): Michael S. Taafe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Leslie L. Cooney, Will Murphy, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206/12504 |
| 18-02939 | 10/16/2019 | Claimant(s): Barry Andrew Zeeman Rev. Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Leslie L. Cooney, Gloria F. Katz, Joseph Benalt
Hearing Site: Boca Raton, FL
| | $0 |
| 17-00695 | 07/01/2019 | Claimant(s): Estate of Hazel L. Surless
Claimant Lawyers(s): Arthur Vincent
Respondent(s): David Israel, Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Leslie L. Cooney, Maria Rosa Scalone, Lisa Jane Austein
Hearing Site: Boca Raton, FL
| | $0 |
| 17-01601 | 06/22/2018 | Claimant(s): Frank Ventura IRA
Claimant Lawyers(s): Frank Ventura
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | Expungement |
| 07-01651 | 04/25/2008 | Claimant(s): Estate of S. Saunders & Annette Saunders
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Oppenheimer & Co.., Peter Bizinkauskas
Respondent Lawyers(s): Kathy M. Klock, Mark David Hunter
Arbitrator(s): Leslie L. Cooney, Berthold T. Berkwich, Sheldon N. Reibman
Hearing Site: Boca Raton, FL
| | $250 |
