| 18-01452 | 04/19/2019 | Claimant(s): Alfred Bonardi
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): Morgan Stanley DW Inc., Oppenheimer & Co.., Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Gina Shlaferman, Joelle A. Simms, John T. McGuire, Randi Perry Spallina
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 18-00330 | 04/19/2019 | Claimant(s): The Jean Saunders Trust, The Stephen Saunders Trust
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Linda M. Foster-Wells, Sonja Shuford, Lisa Jane Austein
Hearing Site: Boca Raton, FL
|  | Expungement |
| 16-01153 | 04/15/2019 | Claimant(s): Kenneth Lieblein, Robin Lieblein, Kenneth R. Lieblein Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Larry Wolfe, Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman, Larry C. Wolfe
Arbitrator(s): Patricia Morin, Michael J. Quarequio, S. Ronald Daniels
Hearing Site: Boca Raton, FL
| | $510,600 |
| 18-00421 | 04/12/2019 | Claimant(s): SSJD LLC
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-00620 | 04/08/2019 | Claimant(s): Ronald Bauer
Claimant Lawyers(s): William Scott Turnbull
Respondent(s): Wells Fargo Clearing Services, Steven Sklover
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Bernice Leah Stander, Linda M. Foster-Wells, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-02384 | 04/03/2019 | Claimant(s): Dustin Smith
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc., RBC Capital Markets LLC
Respondent Lawyers(s): Maggie Goetze, Tanya S. Lambrechts
Arbitrator(s): Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | |
| 18-03591 | 04/02/2019 | Claimant(s): Mark Miller
Claimant Lawyers(s): John D. Stewart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | |
| 16-00888 | 03/27/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Howard Walzer
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Marie G. Peterson, Nanci Sondra Landy, Hector Enrique Valdes-Ortiz
Hearing Site: Boca Raton, FL
| | |
| 18-02999 | 03/26/2019 | Claimant(s): Mark Maller
Claimant Lawyers(s): Jonathan D Kaney
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Steven Gerard Goerke, Barry David Thorpe, Howard L. Conklin
Hearing Site: Boca Raton, FL
| | |
| 18-03140 | 03/06/2019 | Claimant(s): Jeffrey Newman
Claimant Lawyers(s): Craig D Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Steven L. Satter
Arbitrator(s): Karen Z. Fischer, Paul J. Burkhart, Mitchell Stephen Feig
Hearing Site: Boca Raton, FL
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