| 14-00125 | 06/04/2015 | Claimant(s): Harriett Finkel, Sidney Finkel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Barth Satuloff, Joseph Benalt, David I. Stern
Hearing Site: Boca Raton, FL
|  | Expungement |
| 13-02874 | 04/23/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sara Soto
Respondent(s): Richard Ohrn
Respondent Lawyers(s): Richard Winsor Ohrn
Arbitrator(s): Alice J. Johnson, Joseph Benalt, Marilyn Nader
Hearing Site: Boca Raton, FL
| | |
| 13-00910 | 08/19/2014 | Claimant(s): Claudia Goetz, Ralph Goetz
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Erin Botsford, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Brian A. Carlis, David C. Franceski
Arbitrator(s): Barth Satuloff, Richard W. Epstein, Joseph Benalt
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-02697 | 08/03/2010 | Claimant(s): Amzak Capital Management, Gerald J. Kazma Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Donald R. McGahan, Myron E. Levenson, Joseph Benalt
Hearing Site: Boca Raton, FL
| | $1,817,300 |
| 08-02454 | 07/21/2009 | Claimant(s): Donald Carter, Jennifer Carter, Nancy Carter, Lauren Carter Millennium Trust, Lauren Eve Carter Educational Trust, Maxine Half Revocable Trust, Nancy Carter & Kevin Asch Trust, Nancy Carter & Stephanie Asch 1992 Tr, Stephanie Carter Millennium Trust, Stephanie Esther Carter Educational Tr
Claimant Lawyers(s): David J. Feingold
Respondent(s): Wachovia Securities, Kurt Sylvia
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Paul W. Sterman, Joseph Benalt, Gabriela Rif
Hearing Site: Boca Raton, FL
| | $143,000 |
