| 13-00764 | 02/12/2015 | Claimant(s): David Idas
Claimant Lawyers(s): William R. Ponsoldt
Respondent(s): Michael Blankenship, Michael Yost, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Marc S. Piven, Steven Gerard Goerke, Herbert Branitsky
Hearing Site: Boca Raton, FL
|  | $547,432 |
| 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 |
| 11-00687 | 01/16/2013 | Claimant(s): Kenneth M. Mahoney & Linda Mahoney, TIC
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Marc S. Piven, Myron E. Levenson, Robert H. Loevin
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00098 | 11/16/2012 | Claimant(s): VCG Securities
Claimant Lawyers(s): Robert H. Fasulo, General Counsel
Respondent(s): Viewpoint Securities
Respondent Lawyers(s): Seth Leyton, Managing Member
Arbitrator(s): Marc S. Piven, Alexander I. Heckman, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
| | |
| 10-03719 | 11/04/2011 | Claimant(s): Jack Beattie
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marc S. Piven, Marc T. Danon, Diana A. Weiner
Hearing Site: Orlando, FL
| | $230,000 |
| 09-03082 | 12/15/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Kevin Simpson
Respondent Lawyers(s): Kevin Joseph Simpson
Arbitrator(s): Marc S. Piven
Hearing Site: Boca Raton, FL
| | |
| 08-01333 | 06/03/2009 | Claimant(s): Philip Richardson Revocable Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Marc S. Piven, Thomas Anthony Van Tiem, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | $431,000 |
| 06-02039 | 02/29/2008 | Claimant(s): David Morrill, Dorothy Jones, Gale Peregrin, Nancy Morrill, William Tierney, Walter Bell and Caroline Bell, Miami Magnet Co. Profit Sharing Plan, The Gale Peregrin Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Joseph L. Bernstein, Marc S. Piven, Louis David Huss
Hearing Site: Boca Raton, FL
| | $142,156 |
