| 13-02025 | 08/03/2015 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): John Pritchard
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Andrew J. Spurgeon, Michael Lau, Alexander Myers
Hearing Site: Boca Raton, FL
| | |
| 14-00364 | 05/27/2015 | Claimant(s): Ruben Lesmes
Claimant Lawyers(s): Donald L. Kreindler
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Michael Lau, Robert K. Levenson, Scott Louis Fishman
Hearing Site: Miami, FL
| | |
| 12-03658 | 05/15/2014 | Claimant(s): Roslyn Hazan
Claimant Lawyers(s): Randall C. Place
Respondent(s): Eli Hazan, Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham, Randall C. Place
Arbitrator(s): Steven N. Ainbinder, Michael Lau, Leon H. Tracy
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-03450 | 04/17/2014 | Claimant(s): Louis Wolfson
Claimant Lawyers(s): Louis Wolfson
Respondent(s): Carmen Rodriguez Acevedo, Eduardo Pou Monagas, Marivelisse Diaz, Roberto Feria Cestero, Popular Securities., Santander Securities Corp.
Respondent Lawyers(s): A. Patricia Morales Christiansen, Alan M. Wolper
Arbitrator(s): Steven Gerard Goerke, Michael Lau, Fredrick T.W. Reed
Hearing Site: San Juan, PR
| | $0 |
| 12-03042 | 01/30/2014 | Claimant(s): Joaquin Monserrate-Matienzo, Roxana Matienzo-Carrion
Claimant Lawyers(s): David R. Chase
Respondent(s): Popular Securities.
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Steven Gerard Goerke, Michael Lau, Raymond W. Snow
Hearing Site: San Juan, PR
| | $0 |
| 11-04043 | 11/07/2013 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Edwin A. Zipf
Respondent(s): CRL Management
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Michael Lau, Richard S. Zaifert, Guillermo A. Gleizer
Hearing Site: Miami, FL
| | $0 |
| 11-04622 | 10/15/2012 | Claimant(s): David Jastremski
Claimant Lawyers(s): David Jastremski
Respondent(s): David Lerner Associates., David Tepper
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Michael Lau
Hearing Site: Boca Raton, FL
| | $0 |
| 10-03760 | 03/09/2012 | Claimant(s): Miguel Gaud
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Popular Securities.
Respondent Lawyers(s): Heidi L. Rodriguez Benitez
Arbitrator(s): Michael Lau, S. William Gersten, Daniel P. Lund
Hearing Site: San Juan, PR
| | $120,300 |
| 11-00981 | 01/31/2012 | Claimant(s): Robert King
Claimant Lawyers(s): Robert C. King
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Michael Lau
Hearing Site: Boca Raton, FL
| | $14,600 |
| 09-06195 | 04/12/2010 | Claimant(s): Jerry H. Green Residuary Trust
Claimant Lawyers(s): Scott J. Link
Respondent(s): Bradford Madison
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Michael Lau, Bonnie A. Pearce, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
| | Expungement |
