| 18-00264 | 11/07/2019 | Claimant(s): Guillermo Castro
Claimant Lawyers(s): Michael S. Taafe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Leslie L. Cooney, Will Murphy, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12206/12504 |
| 14-02780 | 10/24/2017 | Claimant(s): Kwok Cheung
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., Roger Lam
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Will Murphy, Carolyn E. Moore, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02745 | 03/21/2017 | Claimant(s): Bo Young Oh
Claimant Lawyers(s): Bo Young Oh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | $0 |
| 16-02003 | 02/01/2017 | Claimant(s): Andrew Scott Greene TTEE for Andrew Scot
Claimant Lawyers(s): Mark A Tepper
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Steven R. Reininger
Hearing Site: Miami, FL
| | $27,868 |
| 15-00352 | 09/24/2015 | Claimant(s): Jeffrey Kozial, Jeffrey Kozial as Personal Rep of Estate, Jeffrey Kozial as Ttee of the Edward W.
Claimant Lawyers(s): Sara Hanley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 10-03554 | 07/03/2013 | Claimant(s): College Health and Investment, Ltd.
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Paul W. Sterman, Will Murphy, Kenneth E. Merklen
Hearing Site: Boca Raton, FL
| | $2,752,050 |
| 10-05395 | 11/09/2012 | Claimant(s): Daniel Fanelli
Claimant Lawyers(s): Brandon S. Peters
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Alan E. Linden, Charles W. Lavender, Wallace Morton Rudolph
Hearing Site: Orlando, FL
| | $36,250 |
| 11-03166 | 09/25/2012 | Claimant(s): Bernard Kaszovitz, Floradahl Sacks Trust
Claimant Lawyers(s): David H. Charlip, Stephen David Murakami
Respondent(s): Sean Clancy, Janney Montgomery Scott LLC
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Seth L. Finkel, John H. Claudy, Thomas Roy Spencer
Hearing Site: Miami, FL
| | Expungement |
| 08-04466 | 02/07/2011 | Claimant(s): D. Berghorst, Berghorst Snowbird LLC, Berghorst 98 Dynastic Tr/D Berghorst TTE
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments LLC
Respondent Lawyers(s): Alex J. Sabo, Richard C. Szuch
Arbitrator(s): Guy K. Stewart, Monroe Mitchel, Mark Sidell, Eugene Michael Kennedy, John B. Sochacki, Alfred L. Simon
Hearing Site: Boca Raton, FL
| | $2,000,000 |
| 09-05393 | 01/18/2011 | Claimant(s): Paul Chaplin and Karen Chaplin, Wayne Chaplin and Arlene Chaplin
Claimant Lawyers(s): Scott M. Dimond
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): David M. Levine, Kevin A. Llinas, Bart Samuel Cohodas
Hearing Site: Miami, FL
| | Expungement |
