12-03212 | 11/19/2013 | Claimant(s): Douglas Jones Claimant Lawyers(s): Rose M. Schindler Respondent(s): Matthew Iak, Westmoreland Capital Corporation Respondent Lawyers(s): Marissa A. Coheley Arbitrator(s): Gloria O. North, Raymond W. Snow, Steven E. Eisenberg Hearing Site: Ft. Lauderdale, FL
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12-01404 | 11/15/2013 | Claimant(s): Sharon Gardner-Howder, Sharon E. Gardner-Howder IRA Claimant Lawyers(s): Kirk Smith Respondent(s): RBC Capital Markets Corporation Respondent Lawyers(s): James C. Cosby Arbitrator(s): Steven E. Eisenberg, Michael D Felton, Peter A. Portley Hearing Site: Boca Raton, FL
| | Expungement |
12-01789 | 06/26/2013 | Claimant(s): Alan Mintz Claimant Lawyers(s): W. Scott Turnbull Respondent(s): Collin Meyer, RBC Capital Markets LLC Respondent Lawyers(s): Joseph Keenan Arbitrator(s): William W. Bride, Alice J. Johnson, Steven E. Eisenberg Hearing Site: Boca Raton, FL
| | Expungement |
11-04778 | 12/28/2012 | Claimant(s): Parry Sadoff Inc., Joan T. Kelly TR UAD 3//2/98 by Joan & J, Parry Sadoff Insurance Agency Proft Shar, Parry Sadoff Revocable Living Trust DTD Claimant Lawyers(s): Rose M. Schindler Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Timothy B. Atkins Arbitrator(s): Steven E. Eisenberg, Michael D Felton, Donald Theodore Ryce Hearing Site: Boca Raton, FL
| | $40,000 |
10-05360 | 09/12/2012 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Michael T. Roche Respondent(s): Respondent Lawyers(s): Arbitrator(s): Bernard (Bob) L. Loring, Charles Hoffman, Steven E. Eisenberg Hearing Site: Ft. Lauderdale, FL
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11-01674 | 07/30/2012 | Claimant(s): Sidney Steinberg Claimant Lawyers(s): Jeffrey R. Sonn Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Hugo A. Hilgendorff Arbitrator(s): Harold S. Stern, Steven E. Eisenberg, Mark J. McCarthy Hearing Site: Boca Raton, FL
| | Expungement |
10-05582 | 05/26/2011 | Claimant(s): United Planners' Financial Services of Claimant Lawyers(s): Michael S. Colombo Respondent(s): Richard Philipp Respondent Lawyers(s): Richard J. Philipp Arbitrator(s): Steven E. Eisenberg Hearing Site: Ft. Lauderdale, FL
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10-02524 | 03/07/2011 | Claimant(s): Leonard Massello Claimant Lawyers(s): Kevin T. Hoffman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Robert Harris Arbitrator(s): Edward R. Niederriter, Judith Kelner Chu, Steven E. Eisenberg Hearing Site: Boca Raton, FL
| | $259,400 |
08-04640 | 02/22/2010 | Claimant(s): Richard Lucas Claimant Lawyers(s): Harry N. Turk Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Robert S. Natiss, Herbert Branitsky, Steven E. Eisenberg Hearing Site: Boca Raton, FL
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08-02599 | 04/20/2009 | Claimant(s): Betsy Rubin, Fred Rubin Revocable Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rebecca E. Swenson Arbitrator(s): David L. Hodgson, Steven E. Eisenberg, Gary Paul Whorton Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |