| 20-02318 | 02/05/2021 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Michael Dellaporta
Respondent Lawyers(s): Michael Joseph Dellaporta
Arbitrator(s): Steven Gerard Goerke, Michael Mazor, Jay Andrew Meyers
Hearing Site: Boca Raton, FL
| | |
| 19-03309 | 12/17/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): James Steigerwald
Respondent Lawyers(s): Richard L. Richards
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | |
| 18-01953 | 01/10/2020 | Claimant(s): Brian Sepe, Dawn Sepe
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): Steven Gerard Goerke, Michael A. Levin, Gary Mathew Singer
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12206/12504 |
| 16-03072 | 11/06/2019 | Claimant(s): Michael Pallotta, Neil Marcus, Neil J. Marcus, Trustee for the, Arthur C. Licchillo U/A dtd 11/5/97
Claimant Lawyers(s): Charles C. Mihalek, Stephen S. Stallings
Respondent(s): Ross, Sinclaire & Associates
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Steven Gerard Goerke, S. Ronald Daniels, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | $2,110,540 |
| 19-00377 | 06/17/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Humberto Vega
Respondent Lawyers(s): V. Michael Arias
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | |
| 19-00338 | 06/04/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Jorge De Apodaca
Respondent Lawyers(s): V. Michael Arias
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | |
| 18-02999 | 03/26/2019 | Claimant(s): Mark Maller
Claimant Lawyers(s): Jonathan D Kaney
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Steven Gerard Goerke, Barry David Thorpe, Howard L. Conklin
Hearing Site: Boca Raton, FL
| | |
| 16-01956 | 12/12/2018 | Claimant(s): Reliance Manufacturing.
Claimant Lawyers(s): Gino Negretti
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Steven Gerard Goerke, Juan Antonio Suarez Rodriguez, Frances D. Jimenez
Hearing Site: San Juan, PR
| | $0 |
| 18-02556 | 12/07/2018 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Stephen Murray
Respondent Lawyers(s): Stephen Allen Murray
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | |
| 16-03735 | 11/12/2018 | Claimant(s): Timothy Wheeler
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, Michael D Felton, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | Expungement |
