| 09-01362 | 07/14/2011 | Claimant(s): Margaret Davon, Stuart Bedrin, Dorothea Jacoby Revocable Trust, Margaret F. Davon Revocable Trust, Stuart Bedrin Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Donald R. McGahan, Ellen J. Abrams, Sidney J. Wartel
Hearing Site: Boca Raton, FL
|  | Stipulated Award |
| 10-01051 | 07/07/2011 | Claimant(s): James D. Adkins, Stephanie L. Adkins
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Wells Fargo Advisors, Ernest Watson, Jeff Tucker
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Warren A. Forest, Robert Finder, A.J. Seier
Hearing Site: Orlando, FL
| | $217,928 |
| 10-02681 | 04/29/2011 | Claimant(s): Paul Ratzlaff, Paul H. Ratzlaff IRA
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Kathryn M. Welsh, Lawrence Gray Sanders, Irwin Glazer
Hearing Site: Tampa, FL
| | $0 |
| 09-00268 | 02/03/2011 | Claimant(s): Avis Nakama, Barbara Porter, Kazuko Tietz, Laureen Branch, Marjorie Parker, Melvin Aoki, Piikoi Kawananakoa, Blur Industries., Branch Holdings., Just Black, Lum Borthers, Avis Y. Nakama Trust, Barbara Porter Revocable Trust, Melvin R. Aoki Revocable Living Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Clifford Popper, Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Travis Branch, William Betta
Respondent Lawyers(s): Brian J. Ellis, Clifford Alan Popper, H Thomas Fehn, Kevin G. Fitzgerald, Michael R. Weissman, Tracy L. Gerber, Travis Anthony Branch
Arbitrator(s): Harry B. Endsley, Harriette L. Holt, Richard Bruce Dole
Hearing Site: Honolulu, HI
| | Expungement |
| 09-05415 | 11/10/2010 | Claimant(s): Lenore J. Gaynor Decl . of Trust
Claimant Lawyers(s): David R. Chase
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): James D. McDonald, Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-00297 | 10/01/2010 | Claimant(s): Rick and Patricia Howard
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Stan West, Ralph H. Emer, Mervyn A. Feinstein
Hearing Site: Boca Raton, FL
| | $0 |
| 08-04912 | 08/19/2010 | Claimant(s): Alan Schildhorn, David LaVance, Erin Koury, Grady Hunt, Howard McNeil, Jeffrey Koury, Martha LaVance, NFS/FMTC Rollover IRA FBO Howard & Donna
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Ted Nelson, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Kevin J. Woods, Tracy L. Gerber
Arbitrator(s): John B. Wells, Donald S. Simons, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 09-00120 | 07/22/2010 | Claimant(s): Arthur Taub, Carol Page, Donald Shepard, Esther Stevens, Jeffrey Stevens, Nancy Stevens, Suzanne Helgerson, Travis Bryant, Warren Helgerson, Carol A. Page Roth IRA, Arlan and Barbara Pfohl, Arlan L. & Barbara L. Pfohl Family Trus
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, William Betta, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Jason S. Pinney, Kevin K. Fitzgerald, Tracy L. Gerber
Arbitrator(s): Douglas Martin Crow, Joseph W. Cheek, Paul R. Meyer
Hearing Site: Portland, OR
| | Expungement |
| 09-02500 | 11/13/2009 | Claimant(s): Elizabeth Dankman
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation
Respondent Lawyers(s): Alex Sabo, H. Thomas Fehn, Michael G. Shannon, Tracy L. Gerber
Arbitrator(s): Alexander I. Heckman, Peter A. Cartwright, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
