| 20-01643 | 01/25/2021 | Claimant(s): Daniel Cohen
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 18-00048 | 01/21/2021 | Claimant(s): Ann Tutundjian, John Mugan, Susan Tutundjian-Mugan
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Meah Rothman Tell, Richard W. Epstein, Marvin S. Lava
Hearing Site: Boca Raton, FL
|  | Expungement |
| 20-01606 | 01/08/2021 | Claimant(s): James Springer
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Edward R. Niederriter, Sheryl Sagel, Justin Wallace Askins
Hearing Site: Boca Raton, FL
| | |
| 19-00522 | 12/22/2020 | Claimant(s): Gerald S. Backman 2007 Revocable Trust,
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Gary M. Landau, Christopher J. Klein, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | $90,050 |
| 20-00735 | 12/21/2020 | Claimant(s): Daniel Shannon
Claimant Lawyers(s): Michael A. Gross
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 20-01273 | 12/18/2020 | Claimant(s): PHILIP JORDAN
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 19-03309 | 12/17/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): James Steigerwald
Respondent Lawyers(s): Richard L. Richards
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | |
| 20-01608 | 12/17/2020 | Claimant(s): James Springer
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert S. Natiss, Kimberly A. Gilmour, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | |
| 20-01453 | 12/15/2020 | Claimant(s): Christopher Facka
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 20-01995 | 12/10/2020 | Claimant(s): Jay Fischer
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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