| 14-01003 | 10/13/2015 | Claimant(s): John Mitsinikos, CKJ Investment Co. Limited Partnership
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): National Securities Corporation, VFinance Investments.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Barth Satuloff, Don R. Harris, Marvin S. Lava
Hearing Site: Boca Raton, FL
|  | Expungement |
| 15-01971 | 09/10/2015 | Claimant(s): Francisco Ramis Galdo, Ines Rivero de Ramis, Conjugal Partnership Constituted by Them
Claimant Lawyers(s): Francisco Pujol
Respondent(s): Carlos Freire, Carlos Ubinas Taylor, Doel Garciaromero
Respondent Lawyers(s): Ana M. Rodriguez-Rivera, Heriberto Lopez, Mauricio O. Muniz-Luciano
Arbitrator(s): Steven Gerard Goerke, Barth Satuloff, Howard B. Scherer
Hearing Site: San Juan, PR
| | Expungement |
| 14-00200 | 07/29/2015 | Claimant(s): Max B. Tharpe Charitable Foundation, The Estate of Max B. Tharpe, Max B. Tharpe Revocable Trust
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): William Holland, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Barth Satuloff, Richard F. Lang, Rosemarie Ann Jannuzzi
Hearing Site: Boca Raton, FL
| | $519,511 |
| 13-03062 | 07/28/2015 | Claimant(s): Francisco Ramis Galdo, Ines Rivero de Ramis, Conjugal Partnership Constituted by Them
Claimant Lawyers(s): Francisco Pujol, Frank A. Dalmau Gomez, Jose Luis Gonzalez Castaner
Respondent(s): Jose Ramirez, UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Guillermo Ramos Luina, Patrick Mair, Roberto C. Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Barth Satuloff, Howard B. Scherer
Hearing Site: San Juan, PR
| | $250,600 |
| 14-00125 | 06/04/2015 | Claimant(s): Harriett Finkel, Sidney Finkel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Barth Satuloff, Joseph Benalt, David I. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00910 | 08/19/2014 | Claimant(s): Claudia Goetz, Ralph Goetz
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Erin Botsford, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Brian A. Carlis, David C. Franceski
Arbitrator(s): Barth Satuloff, Richard W. Epstein, Joseph Benalt
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02513 | 06/26/2014 | Claimant(s): Nicki Suitor Dimopoulos
Claimant Lawyers(s): Nicki Lynn Suitor
Respondent(s): Morgan Stanley, Sandra Washburn
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
| | $0 |
| 11-02837 | 04/15/2014 | Claimant(s): Michele Jarrett, Sherri Jonas-Lazin, Sheila Jonas as TOD Beneficiary
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Kathy M. Klock, Travis R. Chapin
Arbitrator(s): Barth Satuloff, Mark I. Roth, Judith Kelner Chu
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01933 | 09/09/2013 | Claimant(s): Barbara Berger Revocable Trust
Claimant Lawyers(s): Charles E. Scarlett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Barth Satuloff, Howard Bernstein, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01316 | 09/06/2013 | Claimant(s): Lilliane Ferrer
Claimant Lawyers(s): Juan C. Blasini Gonzalez
Respondent(s): Popular Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Bernard A. Becker, Barth Satuloff, Jonathan H. Parker
Hearing Site: San Juan, PR
| | $0 |
