| 16-03433 | 12/18/2018 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jill L. Rosenberg
Respondent(s): James Webb
Respondent Lawyers(s): James Daniel Webb
Arbitrator(s): William E. Schneider, Michael S. Davidoff, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
| 17-00448 | 05/08/2018 | Claimant(s): Giovanni Acevedo
Claimant Lawyers(s): Giovanni L. Acevedo
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): C. Bryce Benson
Arbitrator(s): William E. Schneider, Marie Katz, Mimi Vivien Turin
Hearing Site: Boca Raton, FL
| | |
| 16-00412 | 03/06/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Patricia E. Cowart
Respondent(s): William De Cardenas
Respondent Lawyers(s): Francisco J. Escalante
Arbitrator(s): William E. Schneider
Hearing Site: Boca Raton, FL
| | |
| 16-03228 | 12/18/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Kelley Sullivan
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): William E. Schneider
Hearing Site: Boca Raton, FL
| | |
| 17-00373 | 11/21/2017 | Claimant(s): Jeremy Gottlieb
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William Kent Brown, William E. Schneider, Alisa Matire
Hearing Site: Boca Raton, FL
| | |
| 16-03398 | 10/27/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Philip Staff
Respondent Lawyers(s): Philip Jameson Staff
Arbitrator(s): William E. Schneider
Hearing Site: Boca Raton, FL
| | |
| 11-01537 | 07/02/2012 | Claimant(s): Isabella Grace
Claimant Lawyers(s): Isabella Grace
Respondent(s): UBS Financial Services Inc., Robert Higgins
Respondent Lawyers(s): Stefanie M. Wayco
Arbitrator(s): Thomas A. Culbertson, William E. Schneider, Brent Eric Zepke
Hearing Site: Los Angeles, CA
|  | $375 |
| 10-05780 | 06/06/2012 | Claimant(s): The Heater Family Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): William M. Turner
Arbitrator(s): William E. Schneider, Ronald F. Rybandt, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-00364 | 01/30/2009 | Claimant(s): Jack Heller, Martin Hodas, Mitchell Domin
Claimant Lawyers(s): Jack Heller, Jonathan B. Butler, Martin Hodas
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Edward W. Larkin
Arbitrator(s): Monroe Mitchel, William E. Schneider, Doug Campbell
Hearing Site: Boca Raton, FL
| | $0 |
| 07-01049 | 10/30/2008 | Claimant(s): Helen Alpert
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Byron Meads, Doria Sabia-Florence, John Wyllys, Max Manack, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Doria Sabia-Florence, Neil S. Baritz
Arbitrator(s): Susan M. Dunning, William E. Schneider, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | $370,290 |
