22-00858 | 09/07/2023 | Claimant(s): Ruochen Zhou Claimant Lawyers(s): Gary Trachten Respondent(s): Millennium Advisors, Millennium Consolidated Holdings Respondent Lawyers(s): Daniel S. Newman Arbitrator(s): Chase Boone Saunders, James Hugh Williams, Daniel F. Piar Hearing Site: Charlotte, NC
| | |
22-02735 | 07/13/2023 | Claimant(s): Ally Invest Securities LLC Claimant Lawyers(s): Daniel S. Newman Respondent(s): Tin Tran Respondent Lawyers(s): Tin Trung Tran Arbitrator(s): Andrea J. Goldman, Gene M. Bauer, Edward Wallack Hearing Site: Boston, MA
| | $149,389 |
18-02097 | 11/06/2020 | Claimant(s): Jane Zhao, Richard Anderson Claimant Lawyers(s): Jeffrey R. Sonn Respondent(s): Herbert J. Sims & Co. Inc. Respondent Lawyers(s): Daniel S. Newman Arbitrator(s): Edward R. Niederriter, Will Murphy, Paul J. Burkhart Hearing Site: Boca Raton, FL
| | Settlement |
19-01565 | 04/27/2020 | Claimant(s): Arnaldo Garcia and Sylvia Martinez, Daniel, Eduardo and Barbara Martinez, Eduardo Martinez and Barbara Martinez Claimant Lawyers(s): Osvaldo Carlo Respondent(s): Santander Securities LLC Respondent Lawyers(s): Daniel S. Newman Arbitrator(s): JoAnne Lewis Nolte, Joseph Neal Richardson, Marc H. Baer Hearing Site: San Juan, PR
| | Dismissed by Rule 12206/12504 |
16-01153 | 04/15/2019 | Claimant(s): Kenneth Lieblein, Robin Lieblein, Kenneth R. Lieblein Revocable Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Larry Wolfe, Herbert J. Sims & Co. Inc. Respondent Lawyers(s): Daniel S. Newman, Larry C. Wolfe Arbitrator(s): Patricia Morin, Michael J. Quarequio, S. Ronald Daniels Hearing Site: Boca Raton, FL
| | $510,600 |
16-00740 | 08/10/2017 | Claimant(s): Leonard Suskind Claimant Lawyers(s): Daniel S. Newman Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Michael A. Levin, Will Murphy, Paul J. Burkhart Hearing Site: Boca Raton, FL
| | |
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 |
11-04660 | 07/03/2013 | Claimant(s): Anise Schneiderman, Lenore Tepper, Montana Queler Claimant Lawyers(s): Carl F. Schoeppl Respondent(s): David Simon, UBS Financial Services Inc. Respondent Lawyers(s): Daniel S. Newman, Rebecca E. Swenson Arbitrator(s): Linda M. Granata, Marie G. Peterson, Paul Joseph McIntyre Hearing Site: Boca Raton, FL
| | $0 |
08-04763 | 06/16/2011 | Claimant(s): Steven L. West & Judith West Jt Rev Tr Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): James Shawver, William Isaacson, Newbridge Securities Corporation Respondent Lawyers(s): Daniel S. Newman Arbitrator(s): Robert H. Hagan, David P. Slater, Herbert Branitsky Hearing Site: Boca Raton, FL
| | Expungement |
09-05050 | 12/20/2010 | Claimant(s): Jeffrey Penner, Phyllis Penner Claimant Lawyers(s): Jason S. Haselkorn Respondent(s): Herbert J. Sims & Co. Inc. Respondent Lawyers(s): Daniel S. Newman Arbitrator(s): Mark C. Perry, James W. Geiger, Mary H. Cory Hearing Site: Boca Raton, FL
| | $0 |