| 16-03433 | 12/18/2018 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jill L. Rosenberg
Respondent(s): James Webb
Respondent Lawyers(s): James Daniel Webb
Arbitrator(s): William E. Schneider, Michael S. Davidoff, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
| 17-02366 | 12/17/2018 | Claimant(s): Albert Oppedisano, James Cecchini
Claimant Lawyers(s): Jason S. Haselkorn, Jonathan Butler
Respondent(s): Lincoln Investment Planning LLC
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Gary M. Landau, Lonnie K. Martens, Ronald W. Weissman
Hearing Site: Boca Raton, FL
| | |
| 18-02076 | 12/14/2018 | Claimant(s): Trent Leyda
Claimant Lawyers(s): Jarrod J. Malone
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Bonnie A. Pearce, Andrew Jay Kohan, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 18-00915 | 12/14/2018 | Claimant(s): Herbert Moskowitz & Marilyn Moskowitz
Claimant Lawyers(s): Herbert Moskowitz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): William Kent Brown, Ellen J. Abrams, Marvin S. Lava
Hearing Site: Boca Raton, FL
|  | $75,000 |
| 18-02404 | 12/10/2018 | Claimant(s): Robert Jones
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Susan Provencher
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | |
| 18-00218 | 12/10/2018 | Claimant(s): Mariana Smith
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Rafael Golan, Crystal Bay Securities Inc.
Respondent Lawyers(s): Cristopher S. Rapp
Arbitrator(s): Barth Satuloff, Les R. Campbell, Thomas Fred Meyer
Hearing Site: Boca Raton, FL
| | $192,599 |
| 17-01994 | 12/07/2018 | Claimant(s): Brian Kirkpatrick
Claimant Lawyers(s): Lawrence A. Kellogg
Respondent(s): Capital Guardian, Capital Guardian Holding
Respondent Lawyers(s): Justin Lowe, Sandro L. Ramos
Arbitrator(s): Dale H. Van Scoyk, Thomas W. Allen, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | |
| 18-02556 | 12/07/2018 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Stephen Murray
Respondent Lawyers(s): Stephen Allen Murray
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | |
| 17-01610 | 11/30/2018 | Claimant(s): Page Rowe
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Independent Financial Group
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Allen Kilik
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-03470 | 11/29/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Darren Jurick
Respondent Lawyers(s): Lawrence M. Schantz
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
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