| 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 |
| 20-00245 | 06/17/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A Perez
Respondent(s): Alex Herrera
Respondent Lawyers(s): Alex Gerardo Herrera
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Boca Raton, FL
| | |
| 18-04087 | 09/13/2019 | Claimant(s): Carlos Martinangeli
Claimant Lawyers(s): David C. Silver
Respondent(s): Gonzalo Perez-Verdia, Citigroup Global Markets.
Respondent Lawyers(s): Scott W. Atherton
Arbitrator(s): Robert G. Geeseman, Linda M. Foster-Wells, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | $0 |
| 18-00330 | 04/19/2019 | Claimant(s): The Jean Saunders Trust, The Stephen Saunders Trust
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Linda M. Foster-Wells, Sonja Shuford, Lisa Jane Austein
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-00620 | 04/08/2019 | Claimant(s): Ronald Bauer
Claimant Lawyers(s): William Scott Turnbull
Respondent(s): Wells Fargo Clearing Services, Steven Sklover
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Bernice Leah Stander, Linda M. Foster-Wells, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-03308 | 07/12/2018 | Claimant(s): Robert Anderson
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Edward Jones
Respondent Lawyers(s): Joseph D'Elia
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Boca Raton, FL
| | |
| 16-01969 | 01/17/2018 | Claimant(s): Sean Fetterman
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors, FMSBonds.
Respondent Lawyers(s): Beverly Jo Slaughter, Sydney A. Marks
Arbitrator(s): Richard J. Kaplan, Linda M. Foster-Wells, Jay Eng
Hearing Site: Boca Raton, FL
| | |
| 16-01474 | 07/10/2017 | Claimant(s): Peter DeMarco
Claimant Lawyers(s): William K. Flynn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Columbus, OH
| | Expungement |
| 16-03318 | 06/22/2017 | Claimant(s): Nancy Savage
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jeffrey Drapala, Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-02710 | 08/05/2016 | Claimant(s): Ronald Judd
Claimant Lawyers(s): Michael R. Schmidt
Respondent(s): Morgan Stanley, Max Van Benschoten, Ronny Bass
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Lisa Shusterman, Linda M. Foster-Wells, Gerald W. Hepp
Hearing Site: Cincinnati, OH
| | Expungement |
