| 09-04028 | 01/13/2011 | Claimant(s): Phyllis Williams, Phyllis S. Williams Revocable Trust
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
|  | Expungement |
| 10-01151 | 12/31/2010 | Claimant(s): Aydee Ospina
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | $40,150 |
| 09-00840 | 02/16/2010 | Claimant(s): John V.L. Parry & Susan M. Parry JTWROS, The Concetta V. Fearn Trust, The John & Susan Parry CR Trust
Claimant Lawyers(s): John V.L. Parry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Jernigan
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Janet N. Smiles, Marie G. Peterson, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | $588 |
| 09-00383 | 02/04/2010 | Claimant(s): JNG Consulting LLC
Claimant Lawyers(s): Seth Huberman
Respondent(s): Albert Poliak, Douglas Kaiser, Frank Salvatore, Robert Keyser, Thomas Field, Thomas Hands, William Fox, Dawson James Securities.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, Kathy N. Novick, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-00272 | 02/03/2010 | Claimant(s): Margery Binch
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Beverly S. Gordon, Cindy L. Anderson, Dennis R. Nolte
Hearing Site: Orlando, FL
| | $50,300 |
| 07-01049 | 10/30/2008 | Claimant(s): Helen Alpert
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Byron Meads, Doria Sabia-Florence, John Wyllys, Max Manack, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Doria Sabia-Florence, Neil S. Baritz
Arbitrator(s): Susan M. Dunning, William E. Schneider, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | $370,290 |
| 07-00258 | 05/28/2008 | Claimant(s): Brian G. Herr Rollover IRA, Sheryl L. Herr Rollover IRA
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Laif Meidell
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Cheryl R. Kershner, John J. Fitzpatrick, Alan P. Fraser
Hearing Site: Reno, NV
| | $0 |
| 07-00293 | 04/09/2008 | Claimant(s): Dale V. Wessel IRA, JoAnn D. Wessel IRA
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Laif Meidell, Associated Securities Corp.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Alexander L. Mazour, David D. Stein, Marilyn Burrill O'Toole
Hearing Site: Reno, NV
| | $0 |
| 06-03827 | 03/18/2008 | Claimant(s): Robert V. Troy, Estate of Eleanor Daly
Claimant Lawyers(s): Robert V. Troy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Taylor
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Scott Pierce, Daniel P. Lund, William H. Morley
Hearing Site: New York, NY
| | $0 |
| 06-02122 | 07/03/2007 | Claimant(s): Margo Piscevich, Margo Piscevich IRA, Margo Piscevich Profit Sharing Plan
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Laif Meidell, Patricia Meidell, Associated Securities Corp.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Lincoln F. Stock, Michael R.E. Sanders, Dee Newell
Hearing Site: Reno, NV
| | $460,000 |
