| 12-03873 | 07/24/2014 | Claimant(s): Martha Lazow Irrevocable Trust
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): William W. Bride, Stuart Harvey Ziegler, Jay Stewart Zeif
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-01245 | 07/16/2014 | Claimant(s): Kevin McCluskey
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Gloria O. North, Mitchell F. Colen
Hearing Site: Boca Raton, FL
| | |
| 12-03714 | 07/14/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keith Olin
Respondent(s): Michael Petramalo
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Edward R. Niederriter, Andrew R. Present, Milton Thurm
Hearing Site: Boca Raton, FL
| | |
| 13-02513 | 06/26/2014 | Claimant(s): Nicki Suitor Dimopoulos
Claimant Lawyers(s): Nicki Lynn Suitor
Respondent(s): Morgan Stanley, Sandra Washburn
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
| | $0 |
| 13-02765 | 06/24/2014 | Claimant(s): Rosita Kaufman, Morgan Stanley
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Harry Javer, Renee Javer, Scott Javer, Stanley Javer
Respondent Lawyers(s): Michael P. Amad
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00811 | 06/18/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Thomas Leinwol
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 12-01585 | 06/18/2014 | Claimant(s): Lilred
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Ameriprise Financial Services., American Enterprise Investment Services
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Edward R. Niederriter, Howard L. Conklin
Hearing Site: Boca Raton, FL
| | $0 |
| 13-00506 | 06/16/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Stephen Ridgely
Respondent Lawyers(s): Stephen Eldridge Ridgely
Arbitrator(s): Steven R. Reininger, Kimberly A. Gilmour, Sandra J. Bakalus
Hearing Site: Boca Raton, FL
| | |
| 12-04106 | 06/12/2014 | Claimant(s): Julian Stoopler
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Lawrence Brazie, Westminster Financial Securities.
Respondent Lawyers(s): George Katchmer
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | |
| 13-00116 | 06/10/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | |
