| 20-01439 | 08/26/2021 | Claimant(s): Linda Jaremback, Michael Jaremback
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nanci Sondra Landy, Erika Deutsch Rotbart, Robert Stanley Zack
Hearing Site: Boca Raton, FL
|  | Expungement |
| 18-04274 | 04/29/2020 | Claimant(s): Ronald Carlson
Claimant Lawyers(s): Ronald N. Carlson
Respondent(s): Wells Fargo Clearing Services, Prudential Annuities Distributors.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Paul Weinberg, Joseph Benalt, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | $0 |
| 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 |
| 18-04064 | 09/09/2019 | Claimant(s): Michael Varga
Claimant Lawyers(s): Michael Varga
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Candice M. Capoziello
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
| 18-03538 | 06/14/2019 | Claimant(s): Christopher Facka
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
| 16-00888 | 03/27/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Howard Walzer
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Marie G. Peterson, Nanci Sondra Landy, Hector Enrique Valdes-Ortiz
Hearing Site: Boca Raton, FL
| | |
| 17-00948 | 10/30/2018 | Claimant(s): Estate of Carol Stein
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Andrea R. Jacobs, Mark A Bilawsky, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | $44,224 |
| 15-03361 | 09/25/2018 | Claimant(s): Javier Melendez
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Adriana Pineiro, Morgan Stanley, Jorge Dalati, Luis Gonzalez Ocque, Miguel Gonzalez Ocque
Respondent Lawyers(s): Jaime Guttman, Jorge A. Mestre
Arbitrator(s): Martin A. Feigenbaum, Michael T. Williams, Nanci Sondra Landy
Hearing Site: Miami, FL
| | $0 |
| 18-00422 | 08/01/2018 | Claimant(s): Francisco Fernandez Leon
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Benjamin Biard
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Miami, FL
| | |
| 17-00472 | 10/31/2017 | Claimant(s): David Bass
Claimant Lawyers(s): John Stewart
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly Gustafson
Arbitrator(s): David G. Pittinos, Alvin Abraham Simon, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
