| 14-03787 | 05/08/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Patricia E. Cowart
Respondent(s): Brian Berger
Respondent Lawyers(s): Brian Michael Berger
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | |
| 14-00373 | 05/04/2015 | Claimant(s): Alfred Phillips
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Marie G. Peterson, Allen Robin, Steven Robert Wiehe
Hearing Site: Boca Raton, FL
|  | Expungement |
| 14-01847 | 04/29/2015 | Claimant(s): Michael McGraw
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Peter Bruno, Wall Street Money Center Corp.
Respondent Lawyers(s): Peter Bruno
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $125,000 |
| 13-02874 | 04/23/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sara Soto
Respondent(s): Richard Ohrn
Respondent Lawyers(s): Richard Winsor Ohrn
Arbitrator(s): Alice J. Johnson, Joseph Benalt, Marilyn Nader
Hearing Site: Boca Raton, FL
| | |
| 14-01315 | 04/16/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Demian J. Betz
Respondent(s): Steven Fried
Respondent Lawyers(s): Steven Fried
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | |
| 13-00463 | 04/16/2015 | Claimant(s): Loveda Anderson
Claimant Lawyers(s): William M. Winkel
Respondent(s): Barbara Zech, Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02950 | 04/10/2015 | Claimant(s): AXA Advisors, AXA Network, L.L.C.
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Michael Mendelsohn
Respondent Lawyers(s): Michael Mendelsohn
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
| | |
| 13-03012 | 04/07/2015 | Claimant(s): Hilary Musser, Cooper Management Co.
Claimant Lawyers(s): Steven M. Coren
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Barclays Capital Inc.
Respondent Lawyers(s): Coren H. Stern, Julie W. Portera
Arbitrator(s): Will Murphy, Harold S. Stern, Joseph Michael Librie
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-01796 | 04/06/2015 | Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Elena G. Rodriguez, Robert J. Bender, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | |
| 13-03248 | 04/02/2015 | Claimant(s): Carol Bonner
Claimant Lawyers(s): Carol Bonner
Respondent(s): Daniel Mignone
Respondent Lawyers(s): Daniel Richard Mignone
Arbitrator(s): A. George Saks, David P. Slater, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $150,250 |
