| 14-01192 | 06/05/2015 | Claimant(s): Andrew Schmoyer, Daniel David, Darrin Boorse, Dawn Southern, Janine Paillard, Jerry Southern, John David, Olivia Flemming, Zou Soueidan
Claimant Lawyers(s): Michael Hill
Respondent(s): E*Trade Securities LLC, E*trade Clearing LLC
Respondent Lawyers(s): Burton Wiand
Arbitrator(s): Ellen J. Abrams, Robert G. Geeseman, Milton Thurm
Hearing Site: Boca Raton, FL
|  | $0 |
| 14-00125 | 06/04/2015 | Claimant(s): Harriett Finkel, Sidney Finkel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Barth Satuloff, Joseph Benalt, David I. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02913 | 06/02/2015 | Claimant(s): Ira Materetsky
Claimant Lawyers(s): Ira Materetsky
Respondent(s): Jay Fischer, Royal Alliance Associates.
Respondent Lawyers(s): Brian D. Buckstein, Greg Curley
Arbitrator(s): Alice J. Johnson
Hearing Site: Boca Raton, FL
| | |
| 14-02188 | 06/02/2015 | Claimant(s): John A. Imperato
Claimant Lawyers(s): John A. Imperato
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Marie G. Peterson, Philip L. Manczak, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | $1,425 |
| 14-03605 | 06/02/2015 | Claimant(s): Lawrence Scharfman
Claimant Lawyers(s): Lawrence Scharfman
Respondent(s): Jeffrey Phipps
Respondent Lawyers(s): Jill Del Monico
Arbitrator(s): Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | $0 |
| 14-02282 | 05/29/2015 | Claimant(s): Kirsten Nielsen
Claimant Lawyers(s): Kirsten A. Nielsen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Richard W. Epstein, Carl Shechter, Edward Arthur Horton
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02831 | 05/26/2015 | Claimant(s): Joyce Mayzell
Claimant Lawyers(s): Kenneth Alan Eisner
Respondent(s): Morgan Stanley, Russell Bassett
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Herbert Branitsky, Andrea R. Jacobs, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-01227 | 05/22/2015 | Claimant(s): Michael S. Shaw IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Herbert Branitsky, David I. Stern, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02427 | 05/14/2015 | Claimant(s): Scott Goodkind
Claimant Lawyers(s): Craig D Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph L. Bernstein, Bruce K. Isenberg, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL
| | |
| 13-02634 | 05/12/2015 | Claimant(s): PNC Investments LLC
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors, Joe Shimko, Karen Lemay, Lino Gutierrez
Respondent Lawyers(s): Nisha S. Wright
Arbitrator(s): Richard H. Schneider, Rosemarie Ann Jannuzzi, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
