| 12-01559 | 12/23/2013 | Claimant(s): NSM Securities.
Claimant Lawyers(s): Ronald Shindler
Respondent(s): Naveen Bhagwani, Shondeep Balchandani
Respondent Lawyers(s): Mark David Hunter
Arbitrator(s): Ilisa J. Smukler, Richard Alan Levine, Scott Louis Fishman
Hearing Site: Boca Raton, FL
| | |
| 11-01626 | 12/20/2013 | Claimant(s): Principle Capital Partners, L.P.
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert Topp
Arbitrator(s): Joel Margolies, Perry Earl Phillips, Harvey Russell Preston
Hearing Site: Boca Raton, FL
|  | $137,000 |
| 12-01521 | 12/18/2013 | Claimant(s): The Herman Drazick Revocable Living Trst
Claimant Lawyers(s): Charles Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02204 | 12/17/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jennifer R. Ewing
Respondent(s): Angelo Rannazzisi
Respondent Lawyers(s): Angelo Rannazzisi
Arbitrator(s): Steven Ira Weinberger
Hearing Site: Boca Raton, FL
| | |
| 12-02715 | 12/04/2013 | Claimant(s): J Goldsmith, Katherine Goldsmith
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Monica I. Salis, Steven Ira Weinberger, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03910 | 12/03/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): David Kraft
Respondent Lawyers(s): Seth Huberman
Arbitrator(s): Charles Hoffman
Hearing Site: Boca Raton, FL
| | |
| 12-02874 | 11/21/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Douglas Warstler
Respondent Lawyers(s): Douglas William Warstler
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | |
| 12-01404 | 11/15/2013 | Claimant(s): Sharon Gardner-Howder, Sharon E. Gardner-Howder IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Steven E. Eisenberg, Michael D Felton, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-01830 | 11/14/2013 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Andrew Froman
Respondent(s): Glenn Karant
Respondent Lawyers(s): Glenn Howard Karant
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
| | |
| 11-00422 | 11/13/2013 | Claimant(s): Randy Maslow
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Katherine M. Jensen
Arbitrator(s): Jack Stein, Steven Gerard Goerke, Richard Carl Smukler
Hearing Site: Boca Raton, FL
| | $0 |
