| 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
| | |
| 22-01139 | 10/10/2022 | Claimant(s): Peter Bermont
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Mark C. Perry, Steven M. Greenbaum, David P. Slater
Hearing Site: Boca Raton, FL
| | |
| 20-01547 | 07/20/2021 | Claimant(s): Ameriprise Financial Services, American Enterprise Investment Services
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Mariam Silverman, M Silverman Living Trust dated 12/5/18
Respondent Lawyers(s): Jeffrey Kaplan
Arbitrator(s): David P. Slater, Richard J. Kaplan, Alessandra Piras Torrens
Hearing Site: Boca Raton, FL
|  | $0 |
| 20-01887 | 03/09/2021 | Claimant(s): Alexandre Braune
Claimant Lawyers(s): Harris Freedman
Respondent(s): Brickell Global Markets.
Respondent Lawyers(s): Christian R. Batalha
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | |
| 20-01610 | 12/07/2020 | Claimant(s): James Springer
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Paul R. Harris
Arbitrator(s): David P. Slater, Kimberly A. Gilmour, Rosemarie Elizabeth Stoffo
Hearing Site: Boca Raton, FL
| | |
| 19-02656 | 03/24/2020 | Claimant(s): Carter Mansbach
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | |
| 18-04085 | 03/02/2020 | Claimant(s): Cathy Mina, IRA, Louis Mina IRA, Cathy R. Mina, Rev. Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Gary M. Landau, David P. Slater, Robert Stanley Zack
Hearing Site: Boca Raton, FL
| | $0 |
| 18-00317 | 09/12/2018 | Claimant(s): Gail Schneider, Gail Schneider IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-01700 | 05/14/2018 | Claimant(s): Eugene Sessa
Claimant Lawyers(s): Lars Soreide
Respondent(s): Spencer Laufer, J.H. Darbie & Co..
Respondent Lawyers(s): Lawrence R. Gelber, Spencer David Laufer
Arbitrator(s): David P. Slater, Perry Earl Phillips, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | $100,300 |
| 17-00788 | 12/01/2017 | Claimant(s): Claire Greenberg
Claimant Lawyers(s): Claire Greenberg
Respondent(s): Henry Scheuer
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | Expungement |
