| 14-01221 | 12/24/2014 | Claimant(s): Douglas Adams
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Robert A. Sauerberg, David E. Mowry, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 14-00630 | 12/23/2014 | Claimant(s): Howard Kobrin
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Steven M. Greenbaum, Marc T. Danon, Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 13-02288 | 12/22/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Gaetan Gagne
Respondent Lawyers(s): Julie Elizabeth Hough
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
| | |
| 14-00437 | 12/15/2014 | Claimant(s): Sharon Rashti
Claimant Lawyers(s): Sharon Rashti
Respondent(s): Viewtrade Securities.
Respondent Lawyers(s): Allan M. Lerner
Arbitrator(s): Alyson R. Dachelet, Andrew F. Greitz
Hearing Site: Boca Raton, FL
| | |
| 12-00369 | 12/12/2014 | Claimant(s): Donald Hubbard
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Alan B. Goldstein, George H. Rausch, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
|  | $0 |
| 12-03245 | 12/05/2014 | Claimant(s): Robert Schneider, RBB
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi, Senior Counsel
Arbitrator(s): Carl Shechter, Don R. Harris, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-00581 | 12/05/2014 | Claimant(s): Ralph Rubin, Terry Rubin, Trustee of Doris Goodman
Claimant Lawyers(s): Todd A Zuckerbrod
Respondent(s): PNC Investments LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Kimberly A. Gilmour, Joel F. Martineau, James Chris Mills
Hearing Site: Boca Raton, FL
| | $0 |
| 13-03528 | 12/04/2014 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Ana Maria Ignat
Respondent(s): CMCOLL Investment, LLLP
Respondent Lawyers(s): David Smith
Arbitrator(s): Debra A. Jenks, Jay L. Valinsky, Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 14-00563 | 11/18/2014 | Claimant(s): Scott Weber
Claimant Lawyers(s): Brian D. Elias
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Robert A. Sauerberg, Kathy N. Novick, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | |
| 13-02784 | 11/18/2014 | Claimant(s): Richard Polakoff, Dr. Richard Polakoff Defined Benefit Pen
Claimant Lawyers(s): Kristen Lake Cardoso
Respondent(s): Benjamin London, Dwight Campbell
Respondent Lawyers(s): Erin K. Linehan, Gregg J. Breitbart
Arbitrator(s): Frances D. Sheehy, Gloria O. North, Michael Barry Bloom
Hearing Site: Boca Raton, FL
| | Expungement |
