| 17-02171 | 09/27/2018 | Claimant(s): Evan Anish
Claimant Lawyers(s): Evan Sean Anish
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Gregory L. Smith
Arbitrator(s): Tina Scott Polsky, Sydney E. Blum, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 18-00971 | 09/21/2018 | Claimant(s): Robert Debbs
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 18-01192 | 09/21/2018 | Claimant(s): Rosemary Hansen
Claimant Lawyers(s): Jeffrey A. Sellers
Respondent(s): LPL Financial LLC, Rey Whitehorn
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Charles Hoffman
Hearing Site: Boca Raton, FL
|  | $6,213 |
| 17-01966 | 09/19/2018 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Carl Smith, Joseph Baldassarra, Steven Baldassarra
Respondent Lawyers(s): David Feingold
Arbitrator(s): John B. Sochacki
Hearing Site: Boca Raton, FL
| | |
| 17-02232 | 09/18/2018 | Claimant(s): Avi Tansman Revocable Trust
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 18-00317 | 09/12/2018 | Claimant(s): Gail Schneider, Gail Schneider IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-01346 | 09/10/2018 | Claimant(s): Solomon Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Steven Gerard Goerke, Will Murphy, Thomas Fred Meyer
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-03379 | 09/05/2018 | Claimant(s): Collin Meyer
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 17-00522 | 08/28/2018 | Claimant(s): Revocable Trust of Samuel M. Fineman
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Michael Coraggio, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Leonard Michael Cusano, Sidney J. Wartel, John Rinaldi
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-01991 | 08/15/2018 | Claimant(s): Douglas Gordon, Patricia Gordon
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Steven Gerard Goerke, Will Murphy, Gary Mathew Singer
Hearing Site: Boca Raton, FL
| | Expungement |
