| 22-01781 | 02/21/2024 | Claimant(s): Richard McCready, Rosemary McCready
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): John Rinaldi, Sidney Seligman, Priscilla Coq
Hearing Site: Boca Raton, FL
|  | Expungement |
| 22-01995 | 01/11/2024 | Claimant(s): Ivan Goldstein
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawson R. Graves
Arbitrator(s): Nofrey Matthew Fornaro, Sidney Seligman, Richard Gendler
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-00453 | 09/29/2022 | Claimant(s): Chrysta Dwyer-Hammon
Claimant Lawyers(s): August M. Iorio
Respondent(s): McDonald Partners LLC
Respondent Lawyers(s): Michael Gross
Arbitrator(s): Sidney Seligman
Hearing Site: Boca Raton, FL
| | Expungement |
| 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 |
| 15-03293 | 11/05/2021 | Claimant(s): Anthony Pintsopoulos
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Richard Rappaport, Westpark Capital.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Meah Rothman Tell, George R. DeLoach, Sidney Seligman
Hearing Site: Boca Raton, FL
| | |
| 18-04184 | 04/21/2020 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Frank Fava
Respondent Lawyers(s): Ronald J. Ricci
Arbitrator(s): Margarita Echevarria, Jay Alan Kranis, Sidney Seligman
Hearing Site: Newark, NJ
| | |
| 18-01175 | 09/09/2019 | Claimant(s): Cary Grill
Claimant Lawyers(s): Cary Gill
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Fred S. Pieroni, Robert R. Salman, Sidney Seligman
Hearing Site: Newark, NJ
| | Settlement |
| 17-01190 | 09/27/2018 | Claimant(s): Stephen Esposito, Spo Holdings
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Louis H. Miron, Theresa R. Joyner, Sidney Seligman
Hearing Site: Newark, NJ
| | Expungement |
