| 22-00800 | 05/08/2023 | Claimant(s): Robert Sloan
Claimant Lawyers(s): Robert C Sloan
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | |
| 18-02918 | 03/15/2022 | Claimant(s): Donald & Marjorie Lavin Trust
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Jon Broadbent, Pamela Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Andrew L. Sparks, Jon David Broadbent
Arbitrator(s): Kimberly A. Gilmour, John B. Sochacki, Jason Allen Rosner
Hearing Site: Boca Raton, FL
|  | $443,114 |
| 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
| | |
| 19-00721 | 09/17/2021 | Claimant(s): Nicholas and Brigit Trentalange, Robert and Marcia Shinbrot
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Andrea R. Jacobs, Jason Allen Rosner, Lan Trinh
Hearing Site: Boca Raton, FL
| | $848,120 |
| 20-01957 | 07/01/2021 | Claimant(s): Jerome Axelrod
Claimant Lawyers(s): Curtis D. Carlson
Respondent(s): SunTrust Investment Services., SunTrust Advisory Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Richard W. Epstein, Richard Kuper, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | $200,000 |
| 20-00371 | 11/20/2020 | Claimant(s): Marina Bulyguina
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): EFG Capital International
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | |
| 18-04054 | 09/06/2019 | Claimant(s): Brian Lombardi
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): IAA Financial
Respondent Lawyers(s): David Weinberger
Arbitrator(s): Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | |
| 17-01994 | 12/07/2018 | Claimant(s): Brian Kirkpatrick
Claimant Lawyers(s): Lawrence A. Kellogg
Respondent(s): Capital Guardian, Capital Guardian Holding
Respondent Lawyers(s): Justin Lowe, Sandro L. Ramos
Arbitrator(s): Dale H. Van Scoyk, Thomas W. Allen, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | |
| 14-00529 | 04/13/2016 | Claimant(s): David Menashe
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Juli Ann Aylesworth
Arbitrator(s): James W. Geiger, Edward R. Niederriter, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | $100,000 |
| 14-00560 | 08/28/2015 | Claimant(s): Barry Bruck, Enid Bruck, Enid Bruck and Barry Bruck JTWROS
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Monroe Mitchel, Daniel Joseph Chiodo, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | Expungement |
