| 23-02240 | 05/22/2024 | Claimant(s): Gerard Kelly III
Claimant Lawyers(s): Craig Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Steven M. Greenbaum, Layne Verebay, Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 23-02742 | 05/21/2024 | Claimant(s): Richard Grodin
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
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| 20-00336 | 05/17/2024 | Claimant(s): Eduardo Augsten, as S.H. Wealthengage, Wealthengage.
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Gustavo Vega
Respondent Lawyers(s): Javier J. Rodriguez
Arbitrator(s): Paul J. Burkhart, Marie Katz, Franchesca Caminero
Hearing Site: Boca Raton, FL
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| 23-01411 | 05/16/2024 | Claimant(s): John Thomas
Claimant Lawyers(s): Harris Freedman
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry Yager
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
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| 23-02692 | 05/01/2024 | Claimant(s): Carl Labruna
Claimant Lawyers(s): Carl John Labruna
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Louis David Huss, Mark A. Jacoby, Lauren Beth Shapiro
Hearing Site: Boca Raton, FL
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| 22-02215 | 04/26/2024 | Claimant(s): Gilda Scharf for her IRA, Stanley Scharf for his IRA, Stanley Scharf and Gilda Scharf
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Seth L. Finkel, Edward R. Niederriter, Carolyn E. Moore
Hearing Site: Boca Raton, FL
|  | Expungement |
| 23-01167 | 04/26/2024 | Claimant(s): Charles Skipper
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 23-01570 | 04/08/2024 | Claimant(s): Douglas Eglington
Claimant Lawyers(s): Douglas Eglington
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Heather Cooper
Arbitrator(s): Lee Milich
Hearing Site: Boca Raton, FL
| | $0 |
| 23-02658 | 04/05/2024 | Claimant(s): Tyson Lewis
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 23-02347 | 03/28/2024 | Claimant(s): Carlos Estima, Eduardo Cruz, Kenia Naves Rocha, Luis De Melo Ferreira
Claimant Lawyers(s): Jordi C. Martinez-Cid
Respondent(s): EFG Capital International
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Gloria F. Katz, Paul A. Holmes, Robert G. Geeseman
Hearing Site: Boca Raton, FL
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