| 14-00774 | 06/15/2015 | Claimant(s): Jerry Dean, Jerry Dean IRA, Roth IRA and SEP IRA
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): Mollie Wagner Neal, Sanford S. Finder, Harvey Russell Preston
Hearing Site: Columbia, SC
|  | $122,000 |
| 11-01626 | 12/20/2013 | Claimant(s): Principle Capital Partners, L.P.
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert Topp
Arbitrator(s): Joel Margolies, Perry Earl Phillips, Harvey Russell Preston
Hearing Site: Boca Raton, FL
| | $137,000 |
| 11-04716 | 04/19/2013 | Claimant(s): Joanne Gould, Michael Gould
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): John Vassalotti
Arbitrator(s): Joseph L. Bernstein, Daniel P. Lund, Harvey Russell Preston
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-00622 | 04/18/2011 | Claimant(s): John McMickle
Claimant Lawyers(s): John H. McMickle
Respondent(s): George Moler, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marie G. Peterson, Harvey Russell Preston, Doug Campbell
Hearing Site: Boca Raton, FL
| | $0 |
| 06-04674 | 05/01/2008 | Claimant(s): Concetta Dimare
Claimant Lawyers(s): Lonnie K. Martens
Respondent(s): Rafael Golan
Respondent Lawyers(s): Nicholas J. Taldone
Arbitrator(s): Bernard A. Becker, Robert M. Schwedel, Harvey Russell Preston
Hearing Site: Boca Raton, FL
| | $0 |
