| 23-01396 | 06/05/2024 | Claimant(s): Charles L. Roberts Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
|  | Expungement |
| 22-02215 | 04/26/2024 | Claimant(s): Gilda Scharf for her IRA, Stanley Scharf for his IRA, Stanley Scharf and Gilda Scharf
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Seth L. Finkel, Edward R. Niederriter, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-02134 | 10/05/2023 | Claimant(s): Rocky Vista University, Yife Tien Irrevocable Dynasty Trust
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, Intl Fcstone Financial Inc.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Meah Rothman Tell, Seth L. Finkel, Nanci Sondra Landy
Hearing Site: Miami, FL
| | $0 |
| 20-02205 | 09/27/2023 | Claimant(s): Sidney Kruger Living Trust
Claimant Lawyers(s): Jonathan Noble David
Respondent(s): Wells Fargo Advisors, Mara Schainuck, Sharon Miller
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Sydney E. Blum, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-03589 | 08/25/2023 | Claimant(s): Anita Glick, Gary Glick
Claimant Lawyers(s): Anita Glick, Gary Glick
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Anna K. Stark
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-00545 | 05/19/2023 | Claimant(s): Maurice Wilde
Claimant Lawyers(s): Maurice C. Wilde
Respondent(s): Barry Sommers, Daniel Tumba, George Acevedo, J.P. Morgan Securities, Ian Fidler, Jamie Dimon, Mark LaRoe, Ricardo Penafiel, Salvatore Tiano, JPMorgan Distribution Services.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Seth L. Finkel, Lucie L. Sabella, Pansy Mullings
Hearing Site: Boca Raton, FL
| | |
| 22-01675 | 05/04/2023 | Claimant(s): Willard Pugh
Claimant Lawyers(s): Samantha Pastor
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | |
| 22-00686 | 01/24/2023 | Claimant(s): Gloria Barbier, Kevin Dooley
Claimant Lawyers(s): Harris Freedman
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | |
| 16-01033 | 12/17/2021 | Claimant(s): Oriental Financial Services Corp.
Claimant Lawyers(s): Pedro Hernandez-Freire
Respondent(s): Jose Ortiz
Respondent Lawyers(s): Enrique J. Mendoza Sanchez
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
| | |
| 20-00275 | 10/29/2021 | Claimant(s): Michal Marczyk
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Lime Brokerage
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Seth L. Finkel, Justin M. Moore, Jeff Cappelletti
Hearing Site: Boca Raton, FL
| | $0 |
