| 12-02881 | 06/05/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Barry Axler
Respondent Lawyers(s): Marc Durant
Arbitrator(s): Allen Kilik, Gloria O. North, Soraya Maria Figueiredo
Hearing Site: Boca Raton, FL
| | |
| 12-02067 | 05/30/2014 | Claimant(s): Noble Financial Capital Markets
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Ascendiant Capital Markets, Ascendiant Securities
Respondent Lawyers(s): Brian A. Lebrecht
Arbitrator(s): Jack Stein, James D. McDonald, Steven M. Greenbaum
Hearing Site: Boca Raton, FL
| | |
| 12-02482 | 05/19/2014 | Claimant(s): Renee Ginsberg, Trustee UAD 3/19/1991
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Barry Ginsberg, Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky,
Arbitrator(s): Lawrence M. Green, Steven Gerard Goerke, Scott Manker
Hearing Site: Boca Raton, FL
|  | Expungement |
| 12-03658 | 05/15/2014 | Claimant(s): Roslyn Hazan
Claimant Lawyers(s): Randall C. Place
Respondent(s): Eli Hazan, Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham, Randall C. Place
Arbitrator(s): Steven N. Ainbinder, Michael Lau, Leon H. Tracy
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00452 | 05/02/2014 | Claimant(s): Carluco Investments Limited
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Carl Shechter, Steven E. Eisenberg, James Michael LaBonte
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02585 | 04/30/2014 | Claimant(s): Deanna Bresky
Claimant Lawyers(s): George G. Kurschner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Bruce K. Isenberg, David E. Mowry, Myron E. Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02198 | 04/29/2014 | Claimant(s): Thomas Nelson
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Diane M. Perry, Robert Zelinka, Stephen Kahane
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02829 | 04/24/2014 | Claimant(s): Joel Levine
Claimant Lawyers(s): Randall C. Place
Respondent(s): Anthony Fisher
Respondent Lawyers(s): Anthony John Fisher
Arbitrator(s): Alyson R. Dachelet
Hearing Site: Boca Raton, FL
| | $50,600 |
| 12-03975 | 04/23/2014 | Claimant(s): Barbara Unger, Barbara J. Unger Rev. Trust dtd 12/20/02
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Janet N. Smiles, Stuart Harvey Ziegler, David Rich
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00809 | 04/21/2014 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn Diamond Shaw
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Howard N. Kahn
Hearing Site: Boca Raton, FL
| | |
