| 20-02823 | 02/19/2021 | Claimant(s): Faith Xenos
Claimant Lawyers(s): John Stewart
Respondent(s): MSEC
Respondent Lawyers(s): Susan Xouris
Arbitrator(s): Louis David Huss
Hearing Site: Boca Raton, FL
| | |
| 20-03659 | 02/19/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): William Quinn
Respondent Lawyers(s): William F. Quinn
Arbitrator(s): George G. Kurschner
Hearing Site: Boca Raton, FL
| | |
| 18-03103 | 02/19/2021 | Claimant(s): Mattie M. Kelly 908 Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Michael H. McConihe, Peter A. Roche, Mimi Vivien Turin
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12212 |
| 20-02318 | 02/05/2021 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Michael Dellaporta
Respondent Lawyers(s): Michael Joseph Dellaporta
Arbitrator(s): Steven Gerard Goerke, Michael Mazor, Jay Andrew Meyers
Hearing Site: Boca Raton, FL
| | |
| 20-02820 | 02/05/2021 | Claimant(s): Donna DeSanctis
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 19-02053 | 02/05/2021 | Claimant(s): Beverley Schottenstein, Beverly B. Schottenstein, as Co-Trustee
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): Avi Schottenstein, Evan Schottenstein, J.P. Morgan Securities
Respondent Lawyers(s): Gabrielle L. Gould, Jonathan J. Brennan, Robert C. Harris
Arbitrator(s): James M. Scutti, David Rich, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | $18,947,500 |
| 19-02864 | 02/04/2021 | Claimant(s): Philip Rosensweig
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Morgan Stanley, GunnAllen Financial, Cantella & Co.., Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Charles Smulevitz, Christopher M. Sacco, Deborah Anne Williams, Jay Lanstein
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 20-01761 | 02/01/2021 | Claimant(s): VIncent Montanti
Claimant Lawyers(s): Ronald Shindler
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 20-02956 | 02/01/2021 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Elizabeth E. Moum
Respondent(s): Henrique Lucena
Respondent Lawyers(s): Henrique David Lucena
Arbitrator(s): Michael J. Quarequio
Hearing Site: Boca Raton, FL
| | |
| 20-02147 | 01/29/2021 | Claimant(s): Jason Stephens
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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