| 20-01126 | 11/12/2020 | Claimant(s): Riad Shanawany
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 20-01784 | 11/12/2020 | Claimant(s): Terrence Singh
Claimant Lawyers(s): Terrence A. Singh
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): Kiran V. Somashekara
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | |
| 19-02820 | 11/11/2020 | Claimant(s): Stanley & Millicent Barasch Living Trust
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Crystal Bay Securities.
Respondent Lawyers(s): Rafael Golan
Arbitrator(s): Rosemarie Ann Jannuzzi, Robert J. Buchner, Magda M. Fernandez Torres
Hearing Site: Boca Raton, FL
|  | $1,351,180 |
| 18-02097 | 11/06/2020 | Claimant(s): Jane Zhao, Richard Anderson
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Edward R. Niederriter, Will Murphy, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Settlement |
| 19-02747 | 10/30/2020 | Claimant(s): Vincent Luongo
Claimant Lawyers(s): Vincent John Luongo
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Josef Y. Rosen
Arbitrator(s): Barry David Thorpe, S. Ronald Daniels, Everett Scott Youngberg
Hearing Site: Boca Raton, FL
| | |
| 20-01199 | 10/29/2020 | Claimant(s): Kevin Mcbarron
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Sagepoint Financial., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, James V. Noblett
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 20-00955 | 10/27/2020 | Claimant(s): Juan Carlos Freile Franco
Claimant Lawyers(s): Coren H. Stern
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Omari L. Mason
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | |
| 20-01578 | 10/23/2020 | Claimant(s): Lee Fehr
Claimant Lawyers(s): Lee C Fehr
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | $450 |
| 20-01205 | 10/16/2020 | Claimant(s): World Century Corp Ltd, World International Limited Partnership
Claimant Lawyers(s): Michael Ford
Respondent(s): Pershing LLC, Citigroup Global Markets.
Respondent Lawyers(s): Joan Schwartz, Tanya S. Lambrechts
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
| | $0 |
| 20-01003 | 10/09/2020 | Claimant(s): Rodger Shay
Claimant Lawyers(s): Harris Freedman
Respondent(s): Austin Atlantic Capital Inc.
Respondent Lawyers(s): Kevin A. Rowe
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
