| 14-00259 | 10/12/2017 | Claimant(s): Charles Wallace
Claimant Lawyers(s): Marguerite C. Snyder
Respondent(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Steven Gerard Goerke, Jeffrey R. Roth, Michael S. Kozlow
Hearing Site: Miami, FL
| | |
| 12-03797 | 02/02/2015 | Claimant(s): Marcos Bowers
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb, Jr.
Arbitrator(s): Richard S. Zaifert, John C. Holmes, Michael S. Kozlow
Hearing Site: Miami, FL
| | |
| 12-00803 | 04/15/2013 | Claimant(s): Myrna Kanter, The Myron A. Kanter Insurance Trust II
Claimant Lawyers(s): George L. Guerra
Respondent(s): Christopher Goslin, Jordan Kanter
Respondent Lawyers(s): Alan M. Wolper, George L. Guerra
Arbitrator(s): William F. Glaser, David F. Simon, Michael S. Kozlow
Hearing Site: Tampa, FL
|  | $0 |
| 09-05075 | 11/04/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross Carmel
Respondent(s): James Morse
Respondent Lawyers(s): James Grant Morse
Arbitrator(s): Michael S. Kozlow
Hearing Site: Boca Raton, FL
| | |
| 08-04790 | 09/15/2009 | Claimant(s): Charles E. Solak 401K Profit Sharing Pla
Claimant Lawyers(s): Charles E. Solak
Respondent(s): Jeffrey Parr, John Shaw, Thomas Weisel Partners LLC
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Charles Hoffman, Robert J. Saex, Michael S. Kozlow
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 07-01409 | 05/15/2008 | Claimant(s): Eric Colman, Joan Colman
Claimant Lawyers(s): Joan Colman
Respondent(s): Andrew Costa, John Thomas, Costa Financial Securities.
Respondent Lawyers(s): Andrew J. Costa, President, John Thomas
Arbitrator(s): Barth Satuloff, Robert H. Loevin, Michael S. Kozlow
Hearing Site: Boca Raton, FL
| | $0 |
| 07-01744 | 03/13/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Rick Jensen
Respondent Lawyers(s): William M. Van Camp
Arbitrator(s): Steven A. Hurst, Barry Rabinowitz, Michael S. Kozlow
Hearing Site: Boca Raton, FL
| | |
