| 20-01084 | 02/15/2022 | Claimant(s): Antonia Hieronymus, Daniel Hassett, David Freshwater, Joseph Reilly, Steven Rothstein, Vijay Ande
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Alagna, Stephan Stein, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Roy B. Gonas, Michael J. Quarequio, Joseph Benalt
Hearing Site: Boca Raton, FL
|  | $512,731 |
| 21-02242 | 02/11/2022 | Claimant(s): Roger Roach
Claimant Lawyers(s): William A. Haddad
Respondent(s): Morgan Stanley, Noah Caruso
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | $0 |
| 19-01202 | 02/10/2022 | Claimant(s): Patricia Mezzancello, DCB321
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): David McCorison
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Herbert Branitsky, Alessandra Piras Torrens, Peter Frank Ferola
Hearing Site: Boca Raton, FL
| | $0 |
| 20-02666 | 02/09/2022 | Claimant(s): Carol A. Mastics, individually for the, Carole Mastics Rev Tr Dtd 03/28/2011
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Monica I. Salis, Paul Weinberg, Edward Alexander Jaffe
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-01006 | 02/08/2022 | Claimant(s): Virginia Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Stifel, Nicolaus & Co.., UBS Financial Services Inc., Janney Montgomery Scott LLC, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Benjamin J. Biard, Jill B. Clarke, John Murphy, Paul Klein
Arbitrator(s): Sheryl Sagel, Nanci Sondra Landy, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | |
| 20-02466 | 02/08/2022 | Claimant(s): Kathleen Riordan, MSSB C/F Kathleen Olvany Riordan
Claimant Lawyers(s): John Olvany
Respondent(s): J. Shepard
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Gloria O. North, Robert Lawrence Ostrov, Virginia Lee Perez-Berry
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02191 | 02/04/2022 | Claimant(s): Steven Ward
Claimant Lawyers(s): Steven B. Ward
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
| | $300 |
| 20-00459 | 02/03/2022 | Claimant(s): Joel D. Zychick, Trustee of GST Trust, Trustee of QTIP Trust
Claimant Lawyers(s): Jeffrey Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Marsha Matson, Robert Steven Haught, Randy Atlas
Hearing Site: Boca Raton, FL
| | $1,875,640 |
| 18-03460 | 02/01/2022 | Claimant(s): David Epstein, Ethan Epstein
Claimant Lawyers(s): Victor Bayata
Respondent(s): Signature Securities
Respondent Lawyers(s): Vincent P. Pozzuto
Arbitrator(s): Roy B. Gonas, Carl Henry Perdue, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 21-00429 | 01/31/2022 | Claimant(s): Lisbeth Brod
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Paul J. Burkhart, Stephanie Jeannette Charny, Victor Bernard Gent
Hearing Site: Boca Raton, FL
| | Expungement |
