| 20-02218 | 06/23/2021 | Claimant(s): Gregory Zeifman
Claimant Lawyers(s): David C. Silver
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Joseph A. Vallo, Martin A. Feigenbaum, Gloria O. North
Hearing Site: Boca Raton, FL
|  | Expungement |
| 20-03193 | 06/21/2021 | Claimant(s): John Cassandra
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | |
| 20-02319 | 06/16/2021 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Daniel Ascani
Respondent Lawyers(s): Daniel Leonard Ascani
Arbitrator(s): Scott Manker, Gary Frederick Birnberg, Brian Arthur Rubino
Hearing Site: Boca Raton, FL
| | |
| 20-03124 | 06/14/2021 | Claimant(s): Thomas Conway
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 20-02583 | 06/11/2021 | Claimant(s): Carnes Capital Corporation, Private Capital Management
Claimant Lawyers(s): Victor Bayata
Respondent(s): John Folz
Respondent Lawyers(s): Casey K. Weidenmiller
Arbitrator(s): Erika Deutsch Rotbart, Nofrey Matthew Fornaro, Montie J Labadie
Hearing Site: Boca Raton, FL
| | |
| 20-02723 | 06/09/2021 | Claimant(s): Joshua Klump
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Samuel Gilley
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | |
| 20-01450 | 06/04/2021 | Claimant(s): Leticia Santiago
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS International.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 20-03023 | 06/01/2021 | Claimant(s): Peter Goffin
Claimant Lawyers(s): Joshua Bautz
Respondent(s): Wells Fargo Advisors Financial Network, NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart, Patricia Cowart
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 19-00926 | 05/28/2021 | Claimant(s): Spartan Securities Group, Ltd.
Claimant Lawyers(s): Patricia A Leonard
Respondent(s): Gregory Garrabrants, Scott Reynolds, Axos Clearing LLC, SRR Fortress Capital
Respondent Lawyers(s): Adam C. Ford, Polly Towill
Arbitrator(s): Steven R. Reininger, John H. Foster, Martin I Jaffe
Hearing Site: Boca Raton, FL
| | |
| 20-02640 | 05/28/2021 | Claimant(s): Andrew Costa
Claimant Lawyers(s): Harris Freedman
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry W. Yager
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
| | |
