| 23-03626 | 09/25/2024 | Claimant(s): Scott Royal
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Wesley C. Wilson, Tina E. Patterson, Nanci Sondra Landy
Hearing Site: Omaha, NE
| | |
| 23-02267 | 06/17/2024 | Claimant(s): Henry Krich
Claimant Lawyers(s): Craig Stein
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Joseph Benalt, Nanci Sondra Landy, George H Tucker
Hearing Site: Boca Raton, FL
| | |
| 19-02039 | 12/04/2023 | Claimant(s): Gables Capital Management.
Claimant Lawyers(s): Jeffrey T. Foreman
Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, INTL FCStone Financial.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Barth Satuloff, Paul B. Glantz, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
|  | Expungement |
| 18-02134 | 10/05/2023 | Claimant(s): Rocky Vista University, Yife Tien Irrevocable Dynasty Trust
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, Intl Fcstone Financial Inc.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Meah Rothman Tell, Seth L. Finkel, Nanci Sondra Landy
Hearing Site: Miami, FL
| | $0 |
| 22-02282 | 07/25/2023 | Claimant(s): Christian Searcy
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Marc S. Dobin, David P. Slater, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
| 22-00159 | 03/29/2023 | Claimant(s): Andrew Sukhin
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, Kimberly J. Gustafson
Arbitrator(s): Nanci Sondra Landy, Steven Barry Paskal, Annelise Sander
Hearing Site: Boca Raton, FL
| | |
| 21-01548 | 01/31/2023 | Claimant(s): Andres Rodriguez Martin
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ocean Financial Services
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Will Murphy, Michael D Felton, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-00151 | 12/02/2022 | Claimant(s): Gregory Feldman
Claimant Lawyers(s): Zachary Morse
Respondent(s): Lord Abbett Distributor LLC
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
| 20-02547 | 10/07/2022 | Claimant(s): Scott Reynolds, SRR Fortress Capital
Claimant Lawyers(s): Adam Ford
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Henry Perdue, Nanci Sondra Landy, Arlene Simon Backman
Hearing Site: Boca Raton, FL
| | $0 |
| 21-01006 | 02/08/2022 | Claimant(s): Virginia Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Stifel, Nicolaus & Co.., UBS Financial Services Inc., Janney Montgomery Scott LLC, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Benjamin J. Biard, Jill B. Clarke, John Murphy, Paul Klein
Arbitrator(s): Sheryl Sagel, Nanci Sondra Landy, Jason Allen Rosner
Hearing Site: Boca Raton, FL
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