| 21-01978 | 05/09/2022 | Claimant(s): Anthony Leopizzi
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Louis David Huss
Hearing Site: Boca Raton, FL
| | |
| 20-01732 | 05/09/2022 | Claimant(s): Fortezza Investments, L.P.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): S. Ronald Daniels, Christopher E. Benjamin, Steven Moore
Hearing Site: Boca Raton, FL
|  | $0 |
| 20-03262 | 04/29/2022 | Claimant(s): Bluebay Multistrat, L.P.
Claimant Lawyers(s): Romain Bruere
Respondent(s): Clear Street LLC, Precision Securities
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Diane M. Perry, Monroe Mitchel, Michael Ross
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12511/12212/12504 |
| 21-01401 | 04/21/2022 | Claimant(s): Brian Lombardi
Claimant Lawyers(s): Joshua Bautz
Respondent(s): GunnAllen Financial, Aegis Capital Corp.
Respondent Lawyers(s): Kevin Daniels, Kevin Meade
Arbitrator(s): Marc S. Dobin, Howard Bernstein, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 21-02747 | 04/20/2022 | Claimant(s): Aziz Ali
Claimant Lawyers(s): Aziz A. Ali
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): William Kent Brown
Hearing Site: Boca Raton, FL
| | $0 |
| 18-02332 | 04/19/2022 | Claimant(s): Donna Berg IRA
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Karl Foust
Respondent Lawyers(s): Karl Ronald Foust
Arbitrator(s): Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | $62,225 |
| 20-00009 | 04/14/2022 | Claimant(s): Janet Schmitz, John Schmitz
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Edward R. Niederriter, Will Murphy, Kevin A. Llinas
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02031 | 04/05/2022 | Claimant(s): Paul DiPietro
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 21-02705 | 04/04/2022 | Claimant(s): Adam Fetterman, David Raphan, Sean Fetterman
Claimant Lawyers(s): Joseph C. Coates
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Christopher J. Klein, Thomas Mead Santoro, George D. Davidson
Hearing Site: Boca Raton, FL
| | |
| 19-00624 | 04/04/2022 | Claimant(s): Laurita P. Chmielewski Revocable Trust
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): James Flynn, Voya Financial Advisors.
Respondent Lawyers(s): James Travis Flynn, Steven Mellen
Arbitrator(s): Carl Henry Perdue, Peter Shapiro, Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
| | $323,365 |
