| 21-01401 | 04/21/2022 | Claimant(s): Brian Lombardi
Claimant Lawyers(s): Joshua Bautz
Respondent(s): GunnAllen Financial, Aegis Capital Corp.
Respondent Lawyers(s): Kevin Daniels, Kevin Meade
Arbitrator(s): Marc S. Dobin, Howard Bernstein, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 13-01029 | 11/08/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Rebecca Swenson
Respondent(s): Lynn Blankenberger
Respondent Lawyers(s): Lynn Blankenberger
Arbitrator(s): Frances D. Sheehy, Howard Bernstein, Doug Campbell
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01933 | 09/09/2013 | Claimant(s): Barbara Berger Revocable Trust
Claimant Lawyers(s): Charles E. Scarlett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Barth Satuloff, Howard Bernstein, Robert G. Geeseman
Hearing Site: Boca Raton, FL
|  | Expungement |
| 10-02198 | 11/27/2012 | Claimant(s): Anita P. Hamburg, Anita P. Hamburg Revocable Living Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Bruce K. Isenberg, Ralph H. Emer, Howard Bernstein
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-01541 | 08/09/2011 | Claimant(s): Thomas Mulvey and Diane Mulvey
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark C. Perry, Howard Bernstein, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | $0 |
