| 22-01139 | 10/10/2022 | Claimant(s): Peter Bermont
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Mark C. Perry, Steven M. Greenbaum, David P. Slater
Hearing Site: Boca Raton, FL
| | |
| 20-02547 | 10/07/2022 | Claimant(s): Scott Reynolds, SRR Fortress Capital
Claimant Lawyers(s): Adam Ford
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Henry Perdue, Nanci Sondra Landy, Arlene Simon Backman
Hearing Site: Boca Raton, FL
|  | $0 |
| 22-00627 | 10/06/2022 | Claimant(s): Angelo Kafkes
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Edward R. Niederriter, Stephen Kahane, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | |
| 20-03765 | 10/03/2022 | Claimant(s): OKC Group
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): First Republic Investment Management, First Republic Securities Company
Respondent Lawyers(s): Neal Robb
Arbitrator(s): Steven Ira Weinberger, Jonathan Chane, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-03985 | 09/30/2022 | Claimant(s): Elizabeth Catana, Robert Catana
Claimant Lawyers(s): Matt Wolper
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Paul J. Burkhart, John B. Sochacki, Anthony Terence Flynn
Hearing Site: Boca Raton, FL
| | $850,000 |
| 22-00453 | 09/29/2022 | Claimant(s): Chrysta Dwyer-Hammon
Claimant Lawyers(s): August M. Iorio
Respondent(s): McDonald Partners LLC
Respondent Lawyers(s): Michael Gross
Arbitrator(s): Sidney Seligman
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-03373 | 09/16/2022 | Claimant(s): George Schussel, Sandra Schussel
Claimant Lawyers(s): John G. Rich
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christian T. Kemnitz
Arbitrator(s): Gerald Silverman, Nofrey Matthew Fornaro, Daniel Nathan Schatz
Hearing Site: Boca Raton, FL
| | $5,215,030 |
| 21-00591 | 08/26/2022 | Claimant(s): Robert Paulen IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-02514 | 08/23/2022 | Claimant(s): David S. Wehby and Christine J. Wehby
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Cor Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Edward R. Niederriter, Joseph Michael Librie, Erika Deutsch Rotbart
Hearing Site: Boca Raton, FL
| | $0 |
| 21-03037 | 08/18/2022 | Claimant(s): Barbra Shaffer
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Kimberly A. Gilmour, Rosemarie Ann Jannuzzi, John S. Leech
Hearing Site: Boca Raton, FL
| | |
