18-01452 | 04/19/2019 | Claimant(s): Alfred Bonardi Claimant Lawyers(s): Joshua F. Bautz Respondent(s): Morgan Stanley DW Inc., Oppenheimer & Co.., Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Gina Shlaferman, Joelle A. Simms, John T. McGuire, Randi Perry Spallina Arbitrator(s): Elena G. Rodriguez Hearing Site: Boca Raton, FL
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18-01546 | 11/13/2018 | Claimant(s): Jim Casey Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Elena G. Rodriguez Hearing Site: Boca Raton, FL
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17-01525 | 05/14/2018 | Claimant(s): Elma McKenzie, Elma D. McKenzie IRA Claimant Lawyers(s): Russell L. Forkey Respondent(s): Karl Foust, HD Vest Advisory Services., HD Vest Investment Services Respondent Lawyers(s): Eric J. Dec, Neil S. Baritz Arbitrator(s): Elena G. Rodriguez Hearing Site: Boca Raton, FL
| | $0 |
16-02933 | 03/29/2018 | Claimant(s): Nicolette Billings, Estate of Rosemary Seheult Claimant Lawyers(s): Gregory A. Friedman Respondent(s): David Gray, Morgan Stanley, Citigroup Global Markets., Gregg Stupinski Respondent Lawyers(s): Adam Kauff Arbitrator(s): Steven Gerard Goerke, Elena G. Rodriguez, Barry David Thorpe Hearing Site: Miami, FL
| | $0 |
17-00867 | 03/14/2018 | Claimant(s): Dirk Rabenold Claimant Lawyers(s): Joshua F. Bautz Respondent(s): Kerry Montgomery, Next Financial Group. Respondent Lawyers(s): John T. Unger, Robert Rex Arbitrator(s): Robert A. Sauerberg, Elena G. Rodriguez, Richard W. Epstein Hearing Site: Boca Raton, FL
| | Expungement |
16-01420 | 12/01/2017 | Claimant(s): Donald DeBock Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Morgan Stanley Respondent Lawyers(s): Christopher M. Sacco Arbitrator(s): Elena G. Rodriguez, Kenneth H. Koch, Mark A Bilawsky Hearing Site: Boca Raton, FL
| | Expungement |
16-02346 | 01/18/2017 | Claimant(s): Verna Munden Claimant Lawyers(s): Robert J. Slotkin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Elena G. Rodriguez Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12504 |
13-03470 | 08/01/2016 | Claimant(s): Luis Marquez, L.A. Marquez. Claimant Lawyers(s): Francisco Pujol, Harold Vicente Colon Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR. Respondent Lawyers(s): Brian F. Amery, Laura T. Ruiz-Rivera Arbitrator(s): Gerald Silverman, Elena G. Rodriguez, Christopher J. Klein Hearing Site: Miami, FL
| | $500,000 |
13-02545 | 03/01/2016 | Claimant(s): Antonietta D'Avanzo, Estate of Frank D'Avanzo Sr. Claimant Lawyers(s): Gary Menzer Respondent(s): Gil Cohen, MML Investors Services, Metlife Securities Inc. Respondent Lawyers(s): Julie E. Ravis, Richard D'Amura Arbitrator(s): Elena G. Rodriguez, Peter A. Portley, Leon H. Tracy Hearing Site: Boca Raton, FL
| | Expungement |
15-01080 | 02/25/2016 | Claimant(s): Delfina Alvarez Claimant Lawyers(s): Delfina M. Alvarez Respondent(s): Linda Collins Respondent Lawyers(s): Geddes D. Anderson Arbitrator(s): Elena G. Rodriguez Hearing Site: Ft. Lauderdale, FL
| | $0 |