| 14-02634 | 11/16/2015 | Claimant(s): Harold Kornblum
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee
Arbitrator(s): Carl Shechter, David Rich, Richard S. Herman
Hearing Site: Boca Raton, FL
|  | Expungement |
| 15-00252 | 11/12/2015 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Randy Bostick
Respondent Lawyers(s): Randy Lee Bostick
Arbitrator(s): Frances D. Sheehy
Hearing Site: Boca Raton, FL
| | |
| 14-03458 | 11/10/2015 | Claimant(s): Alfred Hovis
Claimant Lawyers(s): William Scott Turnbull
Respondent(s): Jeanne Mazza
Respondent Lawyers(s): Jeanie Mazza
Arbitrator(s): Stephen Kahane, Andrew Jay Kohan, Dennis R. Surprenant
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-01081 | 11/10/2015 | Claimant(s): Marilyn Green, Melissa Green
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
| | $52,387 |
| 15-00378 | 11/09/2015 | Claimant(s): Laurel Ulrich
Claimant Lawyers(s): Jon L. Brunenkant
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Roy B. Gonas
Hearing Site: Boca Raton, FL
| | $23,707 |
| 13-00894 | 10/29/2015 | Claimant(s): Christopher Morson
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Steven N. Ainbinder, Monroe Mitchel, Jon Stanley Spisiak
Hearing Site: Boca Raton, FL
| | |
| 15-00052 | 10/22/2015 | Claimant(s): Adam Vore
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Incapital LLC
Respondent Lawyers(s): Amy G. Doehring
Arbitrator(s): Bernard S. Carrey, Joel F. Martineau, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 15-00250 | 10/20/2015 | Claimant(s): Phyllis Kraus, William Kraus, The CPA Revocable Trust D/T/D 12/12/2006
Claimant Lawyers(s): D. Daxton White
Respondent(s): NFP Securities Inc.
Respondent Lawyers(s): Noah Snyder
Arbitrator(s): David P. Slater, Bruce K. Isenberg, Gary R Librizzi
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 14-01003 | 10/13/2015 | Claimant(s): John Mitsinikos, CKJ Investment Co. Limited Partnership
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): National Securities Corporation, VFinance Investments.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Barth Satuloff, Don R. Harris, Marvin S. Lava
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-01213 | 10/09/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
