| 23-02741 | 07/11/2024 | Claimant(s): Stephen Mosca
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Steven N. Ainbinder, Edward Alexander Jaffe, Rosemarie Elizabeth Stoffo
Hearing Site: Boca Raton, FL
| | |
| 23-02335 | 06/21/2024 | Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Paul J. Burkhart, Stew Cohen, Jason Zachary Jones
Hearing Site: Boca Raton, FL
| | |
| 23-02267 | 06/17/2024 | Claimant(s): Henry Krich
Claimant Lawyers(s): Craig Stein
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Joseph Benalt, Nanci Sondra Landy, George H Tucker
Hearing Site: Boca Raton, FL
| | |
| 23-02240 | 05/22/2024 | Claimant(s): Gerard Kelly III
Claimant Lawyers(s): Craig Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Steven M. Greenbaum, Layne Verebay, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 22-02207 | 12/28/2023 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Craig Stein
Respondent(s): David Ferneding
Respondent Lawyers(s): David Jerome Ferneding
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | |
| 22-02282 | 07/25/2023 | Claimant(s): Christian Searcy
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Marc S. Dobin, David P. Slater, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
| 22-02049 | 07/13/2023 | Claimant(s): Allen Markland, Carole Appleton, Danielle (Appleton) Caponigro, Deborah (Appleton) Gallant, John Markland, Robert Markland, Timothy Appleton
Claimant Lawyers(s): William B. Young
Respondent(s): Gerard Kelly, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig Stein
Arbitrator(s): Gary M. Landau, Robert Lawrence Ostrov, Lisa Jane Austein
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12206 |
| 22-01938 | 05/23/2023 | Claimant(s): Henry Krich
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Steven N. Ainbinder, Will Murphy, Carl Joseph Domino
Hearing Site: Boca Raton, FL
| | |
| 22-00627 | 10/06/2022 | Claimant(s): Angelo Kafkes
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Edward R. Niederriter, Stephen Kahane, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | |
| 21-01164 | 02/22/2022 | Claimant(s): Stephen Brown
Claimant Lawyers(s): Craig Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): William Kent Brown, Will Murphy, Tina Scott Polsky
Hearing Site: Boca Raton, FL
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