| 20-02666 | 02/09/2022 | Claimant(s): Carol A. Mastics, individually for the, Carole Mastics Rev Tr Dtd 03/28/2011
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Monica I. Salis, Paul Weinberg, Edward Alexander Jaffe
Hearing Site: Boca Raton, FL
|  | Expungement |
| 19-03215 | 11/05/2021 | Claimant(s): Barry E. Loughrane Revocable Trust
Claimant Lawyers(s): Jenice Malecki
Respondent(s): Paul Majane, Lincoln Financial Advisors Corporation, Moors & Cabot.
Respondent Lawyers(s): Eric Michaels, Robert A. Giacovas, Robert J. Harvey
Arbitrator(s): Jill Pilgrim, David Holmes, Richard H Leitman
Hearing Site: New York, NY
| | Expungement |
| 18-04018 | 05/13/2019 | Claimant(s): Alyssa Rakovich
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | |
| 18-02838 | 12/31/2018 | Claimant(s): Stanley Young
Claimant Lawyers(s): Stanley E. Young
Respondent(s): Timothy Grossman, Valic Financial Advisors.
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): Vicky L. Orem
Hearing Site: Baltimore, MD
| | $9,266 |
| 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
| | |
| 16-03225 | 11/22/2017 | Claimant(s): Jonathan Friedman
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-01917 | 12/27/2016 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Leandro Palencia
Respondent(s): Alexander Alternative Capital
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): Susanne J. Hollander
Hearing Site: Miami, FL
| | $0 |
| 13-00209 | 08/21/2015 | Claimant(s): Michael Kohlenstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Oderman, Euro Pacific Capital.
Respondent Lawyers(s): Peter Chema, Robert J. Harvey
Arbitrator(s): Gordon M. Wase, John Leslie Coker, Naomi Ime Blake
Hearing Site: Baltimore, MD
| | $70,359 |
| 13-01678 | 03/25/2015 | Claimant(s): James P. Barry Flite Trust dtd 12/31/01
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Martin M. Van Luven, Marvin S. Lava, Sidney Turner
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-03205 | 07/24/2014 | Claimant(s): Jeffrey Carson
Claimant Lawyers(s): Richard T. Donovan
Respondent(s): Richard Sadowski, Todd Sadowski, G. A. Repple & Company
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): Michael S. Hill, Jay R. Robinson, David Cottingham Mann
Hearing Site: Little Rock, AR
| | Expungement |
