| 19-02053 | 02/05/2021 | Claimant(s): Beverley Schottenstein, Beverly B. Schottenstein, as Co-Trustee
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): Avi Schottenstein, Evan Schottenstein, J.P. Morgan Securities
Respondent Lawyers(s): Gabrielle L. Gould, Jonathan J. Brennan, Robert C. Harris
Arbitrator(s): James M. Scutti, David Rich, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
|  | $18,947,500 |
| 20-01205 | 10/16/2020 | Claimant(s): World Century Corp Ltd, World International Limited Partnership
Claimant Lawyers(s): Michael Ford
Respondent(s): Pershing LLC, Citigroup Global Markets.
Respondent Lawyers(s): Joan Schwartz, Tanya S. Lambrechts
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
| | $0 |
| 18-04115 | 01/02/2020 | Claimant(s): The Lorraine B. Trust 'B', The Wheeler H. Hess Jr Irrevocable Trust
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Merrill Lynch, Pierce, Fenner Inc
Respondent Lawyers(s): Keith S. Olin
Arbitrator(s): Gilbert A. Schnirman, Will Murphy, David Rich
Hearing Site: Boca Raton, FL
| | $25,739 |
| 16-02000 | 10/13/2017 | Claimant(s): National Steel & Copper Plate Co.., Jon R. Marden Living Trust
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): David Rich, Andrea R. Jacobs, John B. Sochacki
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-00009 | 09/14/2017 | Claimant(s): Louis Adorian
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Lawrence M. Green, David Rich, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 16-03723 | 08/16/2017 | Claimant(s): Ricardo Latta
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Kovack Securities Inc.
Respondent Lawyers(s): Amy Towle
Arbitrator(s): Howard N. Kahn, Gary M. Landau, David Rich
Hearing Site: Boca Raton, FL
| | |
| 16-01150 | 09/01/2016 | Claimant(s): Daniel Rosenberg
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Steven R. Reininger, Stephen Kahane, David Rich
Hearing Site: Boca Raton, FL
| | |
| 15-00696 | 03/30/2016 | Claimant(s): Sondra Steinberg
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Joseph L. Bernstein, David Rich, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $53,500 |
| 14-02634 | 11/16/2015 | Claimant(s): Harold Kornblum
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee
Arbitrator(s): Carl Shechter, David Rich, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03975 | 04/23/2014 | Claimant(s): Barbara Unger, Barbara J. Unger Rev. Trust dtd 12/20/02
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Janet N. Smiles, Stuart Harvey Ziegler, David Rich
Hearing Site: Boca Raton, FL
| | Expungement |
