| 16-02524 | 01/13/2017 | Claimant(s): Darlene Platt
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black
Arbitrator(s): Daniel P. Lund
Hearing Site: Boca Raton, FL
|  | $15,082 |
| 16-02952 | 01/09/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Roger Bell
Respondent Lawyers(s): Roger Ericson Bell
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 15-02896 | 01/04/2017 | Claimant(s): Stanley Kebe
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): David Horonzy, Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel E.. Cohen
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-00698 | 01/03/2017 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J. Breibart
Respondent(s): Bryan Lubitz
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
| | |
| 14-03228 | 12/22/2016 | Claimant(s): William Dudziak, Nicole Dudziak, Paige Dudziak, Zach Dudziak, Emily Elizabeth McClintock Trust, William Edwin Dudziak Trust
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tim Atkins
Arbitrator(s): Edward R. Niederriter, Donald Theodore Ryce, Philip L. Manczak
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02387 | 12/07/2016 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Patrick Bray
Respondent Lawyers(s): Patrick Ryan Bray
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
| | |
| 15-00022 | 12/02/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Charles Pfeiffer
Respondent Lawyers(s): Charles Pfeiffer
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 16-01727 | 11/29/2016 | Claimant(s): Judy Wagner, Robert Wagner
Claimant Lawyers(s): Judy L. Wagner, Robert F. Wagner
Respondent(s): Raymond James Financial Services., Ronald Wilson
Respondent Lawyers(s): Aaron Furniss
Arbitrator(s): Peter A. Portley
Hearing Site: Boca Raton, FL
| | $21,343 |
| 14-03127 | 11/09/2016 | Claimant(s): Alisa Jaffe
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Scott Strochak
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): Monica I. Salis, Raymond W. Snow, Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 15-00880 | 11/04/2016 | Claimant(s): Deborah Adeimy
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janelle M. Ahnert
Arbitrator(s): James W. Geiger, Carolyn E. Moore, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | |
