| 20-00009 | 04/14/2022 | Claimant(s): Janet Schmitz, John Schmitz
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Edward R. Niederriter, Will Murphy, Kevin A. Llinas
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-01554 | 01/18/2022 | Claimant(s): Yulia Kalk
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): 1st Discount Brokerage.
Respondent Lawyers(s): Nicky Cheng
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 20-02976 | 01/13/2022 | Claimant(s): Normando Matos
Claimant Lawyers(s): Sara Hanley
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Edward R. Niederriter, Sidney Seligman, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-01606 | 01/08/2021 | Claimant(s): James Springer
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Edward R. Niederriter, Sheryl Sagel, Justin Wallace Askins
Hearing Site: Boca Raton, FL
| | |
| 20-00735 | 12/21/2020 | Claimant(s): Daniel Shannon
Claimant Lawyers(s): Michael A. Gross
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 20-01273 | 12/18/2020 | Claimant(s): PHILIP JORDAN
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 18-02097 | 11/06/2020 | Claimant(s): Jane Zhao, Richard Anderson
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Edward R. Niederriter, Will Murphy, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Settlement |
| 20-00996 | 09/17/2020 | Claimant(s): Joshua Garrett
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 19-00565 | 05/21/2020 | Claimant(s): Jamie Margulies, on Behalf of His IRA
Claimant Lawyers(s): Jamie Margulies
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $0 |
| 19-01577 | 02/14/2020 | Claimant(s): Seth Townsend
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
