FINRA Awards for Stephen I. Gilman

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-02444	05/15/2013	Claimant(s): Alina Bolano, Andres Bolano Claimant Lawyers(s): Lawrence A. Kellogg Respondent(s): Michael Anton, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Julie W. Portera Arbitrator(s): Carl Shechter, Stephen I. Gilman, Carl Henry Perdue Hearing Site: Boca Raton, FL		$0
10-03102	05/23/2012	Claimant(s): Esrick Investments, SME Capital, SME Children Claimant Lawyers(s): John W. Waechter Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Matthew Triggs Arbitrator(s): Jacque E. Sohm, Stephen I. Gilman, Peter A. Portley Hearing Site: Boca Raton, FL		Expungement