| 22-01938 | 05/23/2023 | Claimant(s): Henry Krich
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Steven N. Ainbinder, Will Murphy, Carl Joseph Domino
Hearing Site: Boca Raton, FL
| | |
| 22-00545 | 05/19/2023 | Claimant(s): Maurice Wilde
Claimant Lawyers(s): Maurice C. Wilde
Respondent(s): Barry Sommers, Daniel Tumba, George Acevedo, J.P. Morgan Securities, Ian Fidler, Jamie Dimon, Mark LaRoe, Ricardo Penafiel, Salvatore Tiano, JPMorgan Distribution Services.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Seth L. Finkel, Lucie L. Sabella, Pansy Mullings
Hearing Site: Boca Raton, FL
| | |
| 21-02939 | 05/16/2023 | Claimant(s): The Estate of Louise B. Lieber, John Carrell Lieber Family Trust
Claimant Lawyers(s): William R. Ponsoldt
Respondent(s): Christopher Queen
Respondent Lawyers(s): Kyle A. Owens
Arbitrator(s): Leslie L. Cooney, Scott Manker, Peter Joseph Battaglia
Hearing Site: Boca Raton, FL
|  | $54,300 |
| 22-00921 | 05/15/2023 | Claimant(s): John Holly
Claimant Lawyers(s): Samantha Pastor
Respondent(s): JWGenesis Securities., Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff, Paul Sankovich
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
| | |
| 22-01685 | 05/12/2023 | Claimant(s): Allan Babaian
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): National Securities Corporation, Joseph Stone Capital L.L.C.
Respondent Lawyers(s): Damian Maggio, Emily A. Hayes
Arbitrator(s): George G. Kurschner, David I. Stern, Philip Lindsay Bullen
Hearing Site: Boca Raton, FL
| | |
| 22-00822 | 05/11/2023 | Claimant(s): Troy Goldberg
Claimant Lawyers(s): Zachary Morse
Respondent(s): Monroe Parker Securities., National Securities Corporation, NewBridge Securities Corp., Fin-Atlantic Securities.
Respondent Lawyers(s): Alan Lipsky, Emily A. Hayes, Jerry E. Surman, Zachary Hayes-Macaluso
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
| | |
| 20-02294 | 05/09/2023 | Claimant(s): CPN Capital Enterprises Corporation
Claimant Lawyers(s): Catalina Rey
Respondent(s): Caio da Fonseca, Morgan Stanley
Respondent Lawyers(s): Catalina Rey, Leonel Peraza
Arbitrator(s): John E. Sutton, Myron E. Levenson, Peter Shapiro
Hearing Site: Boca Raton, FL
| | $800,000 |
| 22-00800 | 05/08/2023 | Claimant(s): Robert Sloan
Claimant Lawyers(s): Robert C Sloan
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | |
| 22-02352 | 05/05/2023 | Claimant(s): Jonathan Beitler
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Raymond James Financial Services., FSC Securities Corporation
Respondent Lawyers(s): James Noblett, Laura Ruiz Rivera
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 22-01675 | 05/04/2023 | Claimant(s): Willard Pugh
Claimant Lawyers(s): Samantha Pastor
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
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