| 16-01969 | 01/17/2018 | Claimant(s): Sean Fetterman
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors, FMSBonds.
Respondent Lawyers(s): Beverly Jo Slaughter, Sydney A. Marks
Arbitrator(s): Richard J. Kaplan, Linda M. Foster-Wells, Jay Eng
Hearing Site: Boca Raton, FL
| | |
| 16-01151 | 12/27/2017 | Claimant(s): Paul Sussman
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
|  | Expungement |
| 15-01606 | 12/26/2017 | Claimant(s): Donovan Essen, Palm City Family Dental Care Profit Shar
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Duane Goodell, Triad Advisors.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): James W. Geiger, Carl Shechter, Ronald W. Weissman
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-03228 | 12/18/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Kelley Sullivan
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): William E. Schneider
Hearing Site: Boca Raton, FL
| | |
| 15-02347 | 12/18/2017 | Claimant(s): Jerome Courville, Laurence Courville, Raoul Courville, Courville and Company
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services., ING Financial Partners.
Respondent Lawyers(s): Benjamin Biard, Howard M. Klausmeier
Arbitrator(s): James W. Geiger, Kenneth H. Koch, Gabriel Xavier Martinez
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-00539 | 12/12/2017 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): John Pritchard
Respondent Lawyers(s): John Kenneth Pritchard
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | |
| 17-00873 | 12/11/2017 | Claimant(s): Diane Whittaker
Claimant Lawyers(s): Diane I. Whittaker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | $22,213 |
| 17-01312 | 12/06/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Gordon Brown
Respondent Lawyers(s): Gordon Kenneth Brown
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 15-01204 | 12/01/2017 | Claimant(s): John Mulcahy
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Joseph Gieker, Keith Gregg, Capital Guardian
Respondent Lawyers(s): Sandro L. Ramos, Tina El Fadel
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
| | |
| 16-01420 | 12/01/2017 | Claimant(s): Donald DeBock
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Elena G. Rodriguez, Kenneth H. Koch, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
