| 21-01841 | 03/25/2022 | Claimant(s): Jason Stephens
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
| | |
| 21-01990 | 03/25/2022 | Claimant(s): Glen Anderson
Claimant Lawyers(s): Zachary Morse
Respondent(s): Rainmaker Securities
Respondent Lawyers(s): Dominic Cioffi
Arbitrator(s): Louis David Huss
Hearing Site: Boca Raton, FL
| | |
| 21-00101 | 03/17/2022 | Claimant(s): William Valle
Claimant Lawyers(s): William Isaac Valle
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Ellen J. Abrams, Richard S. Herman, Krista Fanning Kersey
Hearing Site: Boca Raton, FL
| | |
| 21-01874 | 03/16/2022 | Claimant(s): Javier Garcia
Claimant Lawyers(s): Javier Garcia
Respondent(s): UBS International Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): William Kent Brown, Virginia Lee Perez-Berry, Scott Joseph Pagano
Hearing Site: Boca Raton, FL
| | |
| 18-02918 | 03/15/2022 | Claimant(s): Donald & Marjorie Lavin Trust
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Jon Broadbent, Pamela Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Andrew L. Sparks, Jon David Broadbent
Arbitrator(s): Kimberly A. Gilmour, John B. Sochacki, Jason Allen Rosner
Hearing Site: Boca Raton, FL
|  | $443,114 |
| 21-01637 | 03/14/2022 | Claimant(s): Charles Wallace
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 21-02982 | 03/04/2022 | Claimant(s): Carlos Vargas
Claimant Lawyers(s): Thomas McHugh
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
| | |
| 21-02952 | 02/25/2022 | Claimant(s): Alejandro Gonzalez
Claimant Lawyers(s): Thomas M. McHugh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 20-02087 | 02/23/2022 | Claimant(s): David Kucharsky, Ellen Kucharsky
Claimant Lawyers(s): Sheldon P. Starke
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Steven R. Reininger, Will Murphy, Gary Frederick Birnberg
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-01164 | 02/22/2022 | Claimant(s): Stephen Brown
Claimant Lawyers(s): Craig Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): William Kent Brown, Will Murphy, Tina Scott Polsky
Hearing Site: Boca Raton, FL
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