| 12-00278 | 04/25/2013 | Claimant(s): Marc Brody
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Myron E. Levenson, Herbert Branitsky, Sonja Shuford
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-04716 | 04/19/2013 | Claimant(s): Joanne Gould, Michael Gould
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): John Vassalotti
Arbitrator(s): Joseph L. Bernstein, Daniel P. Lund, Harvey Russell Preston
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-04216 | 04/17/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Christopher Hickman
Respondent Lawyers(s): Mark Hanna
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | |
| 12-00244 | 04/17/2013 | Claimant(s): Samuel Messing
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01060 | 04/17/2013 | Claimant(s): Angie Herschkoff
Claimant Lawyers(s): Joseph J. Gulino
Respondent(s): Chase Investment Services Corp., AXA Advisors
Respondent Lawyers(s): Joseph S. Simms, Renata Ortiz Bloom
Arbitrator(s): Marc S. Piven, Michael A. Levin, Mauricio Arcadier
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 11-03807 | 04/08/2013 | Claimant(s): Robert K. Miller Roth IRA
Claimant Lawyers(s): Leonard P. Haberman
Respondent(s): Noble Financial Capital Markets
Respondent Lawyers(s): Peter Jung
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $36,753 |
| 12-02796 | 03/28/2013 | Claimant(s): IAA Financial
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Nicolas Libertella
Respondent Lawyers(s): Nicolas Rocco Libertella
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
| | |
| 11-03950 | 03/26/2013 | Claimant(s): Richard Lindstrom, Robert Kwass, James and Ruth DeMartini, Norwood and Patricia Hoecker
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Workman Securities Corporation
Respondent Lawyers(s): Dana Vietor
Arbitrator(s): Marc Scott Shapiro, Richard J. Kaplan, Jack G. Armstrong
Hearing Site: Boca Raton, FL
| | $350,300 |
| 12-01510 | 03/21/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Lawrence Schnurmacher
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): George J. Blutstein
Hearing Site: Boca Raton, FL
| | |
| 12-02648 | 03/13/2013 | Claimant(s): James Rubinton
Claimant Lawyers(s): Jonathan C Schwartz
Respondent(s): Franklin Neves, John Corris, Lisa Neves
Respondent Lawyers(s): Robert J. Pearl
Arbitrator(s): Mary H. Cory, Kimberly A. Gilmour, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | Expungement |
