| 22-02268 | 01/05/2024 | Claimant(s): Tamir Zury
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Gary M. Landau, Richard Carl Smukler, Edward Alexander Jaffe
Hearing Site: Boca Raton, FL
|  | Expungement |
| 23-00996 | 01/02/2024 | Claimant(s): Livia Mendes Mansur
Claimant Lawyers(s): Mark David Hunter
Respondent(s): XP Investments US
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Richard Carl Smukler, John S. Leech, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | |
| 22-00052 | 03/13/2023 | Claimant(s): Richard Ringel
Claimant Lawyers(s): Richard Ringel
Respondent(s): Michael Haupt, Randy Beller, Tradezero America.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Richard Carl Smukler, Mark A. Jacoby, Leonard Marc Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-00298 | 07/30/2021 | Claimant(s): Sandra Greenberg
Claimant Lawyers(s): Peter M. Spett
Respondent(s): William Friedman
Respondent Lawyers(s): William Sideny Friedman
Arbitrator(s): Richard Carl Smukler
Hearing Site: Boca Raton, FL
| | $250,300 |
| 18-04305 | 07/27/2021 | Claimant(s): Acacia Noguera, Emporio Blue LTD
Claimant Lawyers(s): Acacia Noguera
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Sameer Rastogi
Arbitrator(s): Christopher J. Klein, Richard Carl Smukler, Michael Greene
Hearing Site: Miami, FL
| | $0 |
| 19-01535 | 03/12/2021 | Claimant(s): James W. Johnston, as Trustee of the
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): James W. Geiger, Richard Carl Smukler, Thomas Richard Blake
Hearing Site: Boca Raton, FL
| | $0 |
| 18-02235 | 12/21/2020 | Claimant(s): Carlos Scarano Garcia
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin, Peter Fruin, Roberto C. Quinones
Arbitrator(s): Richard Carl Smukler, Basheera-Alia James, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Settlement |
| 19-00258 | 03/05/2020 | Claimant(s): Patricia J. Wilson Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Karl Foust
Respondent Lawyers(s): Karl Ronald Foust
Arbitrator(s): Todd M. Saunders, Richard Carl Smukler, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
| | $200,000 |
| 18-03652 | 12/18/2019 | Claimant(s): Ivanna Freddi, Juan Freddi, Monica Kuclik, Rosario Freddi
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Richard Carl Smukler, Virginia Lee Perez, Michael B Goldstein
Hearing Site: Miami, FL
| | $0 |
| 16-00658 | 03/28/2018 | Claimant(s): Richard Levine
Claimant Lawyers(s): Adam Gana
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Michael J. Quarequio, Richard Carl Smukler, John B. Sochacki
Hearing Site: Boca Raton, FL
| | Expungement |
