| 13-03248 | 04/02/2015 | Claimant(s): Carol Bonner
Claimant Lawyers(s): Carol Bonner
Respondent(s): Daniel Mignone
Respondent Lawyers(s): Daniel Richard Mignone
Arbitrator(s): A. George Saks, David P. Slater, Edward R. Niederriter
Hearing Site: Boca Raton, FL
|  | $150,250 |
| 14-01221 | 12/24/2014 | Claimant(s): Douglas Adams
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Robert A. Sauerberg, David E. Mowry, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 12-03257 | 07/25/2014 | Claimant(s): Julie Castillo
Claimant Lawyers(s): Randall C. Place
Respondent(s): LPL Financial LLC, Jeffrey Callan
Respondent Lawyers(s): Craig R. Glasser, Kip A. Nesmith
Arbitrator(s): Monica I. Salis, Jay L. Valinsky, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 12-03714 | 07/14/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keith Olin
Respondent(s): Michael Petramalo
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Edward R. Niederriter, Andrew R. Present, Milton Thurm
Hearing Site: Boca Raton, FL
| | |
| 13-00811 | 06/18/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Thomas Leinwol
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 12-01585 | 06/18/2014 | Claimant(s): Lilred
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Ameriprise Financial Services., American Enterprise Investment Services
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Edward R. Niederriter, Howard L. Conklin
Hearing Site: Boca Raton, FL
| | $0 |
| 12-03795 | 04/07/2014 | Claimant(s): Susan Gurfein
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Carl Shechter, Edward R. Niederriter, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02121 | 01/28/2014 | Claimant(s): Lois T. Morse Revocable Trust, Norman B. Morse Revocable Trust
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Evelyn Bukchin
Arbitrator(s): James W. Geiger, Edward R. Niederriter, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03564 | 10/17/2013 | Claimant(s): Apostle Solomon
Claimant Lawyers(s): Randall C. Place
Respondent(s): Adam Rosenfeld, Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge, Richard L. Martens
Arbitrator(s): Mark C. Perry, Edward R. Niederriter, Ken Ziesenheim
Hearing Site: Miami, FL
| | Expungement |
| 11-01713 | 04/26/2013 | Claimant(s): Ronald J. DiMaio and Annette F. DiMaio
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Mary H. Cory, Edward R. Niederriter, Gerald M. Siegel
Hearing Site: Boca Raton, FL
| | Expungement |
