| 22-01142 | 12/14/2023 | Claimant(s): Efraim Diveroli
Claimant Lawyers(s): Jerome Ramsaran
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Steven Gerard Goerke, Robert Lawrence Ostrov, Kathryn L McHale
Hearing Site: Boca Raton, FL
|  | Expungement |
| 22-02049 | 07/13/2023 | Claimant(s): Allen Markland, Carole Appleton, Danielle (Appleton) Caponigro, Deborah (Appleton) Gallant, John Markland, Robert Markland, Timothy Appleton
Claimant Lawyers(s): William B. Young
Respondent(s): Gerard Kelly, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig Stein
Arbitrator(s): Gary M. Landau, Robert Lawrence Ostrov, Lisa Jane Austein
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 22-00917 | 11/28/2022 | Claimant(s): Yan Binder
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): Stuart Bruce Klein, Robert G. Geeseman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 20-02466 | 02/08/2022 | Claimant(s): Kathleen Riordan, MSSB C/F Kathleen Olvany Riordan
Claimant Lawyers(s): John Olvany
Respondent(s): J. Shepard
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Gloria O. North, Robert Lawrence Ostrov, Virginia Lee Perez-Berry
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-03460 | 02/01/2022 | Claimant(s): David Epstein, Ethan Epstein
Claimant Lawyers(s): Victor Bayata
Respondent(s): Signature Securities
Respondent Lawyers(s): Vincent P. Pozzuto
Arbitrator(s): Roy B. Gonas, Carl Henry Perdue, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 21-00914 | 12/21/2021 | Claimant(s): Virginia Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Michael Lau, Louis David Huss, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 21-00335 | 10/01/2021 | Claimant(s): Logan Shalmi
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William M. Cassarini
Arbitrator(s): Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 19-01545 | 06/30/2021 | Claimant(s): Eleven Stones, L.P.
Claimant Lawyers(s): W. Barry Blum
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Herbert N. Ladenheim, Kevin A. Llinas, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | $0 |
| 20-01126 | 11/12/2020 | Claimant(s): Riad Shanawany
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 18-04048 | 04/13/2020 | Claimant(s): Carole Blake, Lawrence Franklin, Lawrence Franklin Revocable Trust
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Barth Satuloff, Robert Lawrence Ostrov, Peter Shapiro
Hearing Site: Boca Raton, FL
| | $0 |
