| 11-02059 | 05/21/2013 | Claimant(s): Peter R. Hanson and Martha H. Hanson
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Barry Goldman, John F. Burns, Thomas Anthony Van Tiem
Hearing Site: Detroit, MI
|  | Expungement |
| 10-02365 | 09/27/2011 | Claimant(s): Patty L. Lapine Irrevocable Life Insuran
Claimant Lawyers(s): Frank T. Aiello
Respondent(s): Carin Amaradio, Mark Goldsmith, Securities Equity Group
Respondent Lawyers(s): Brian J. Masternak
Arbitrator(s): Thomas Anthony Van Tiem, Richard C. Vanden Brul, Seth H. Barsky
Hearing Site: Detroit, MI
| | $133,333 |
| 08-00363 | 09/24/2009 | Claimant(s): Mr. Robert J. Kraus
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): Christopher Fluehr, Suntrust Investment Services.
Respondent Lawyers(s): Richard H. Bergman
Arbitrator(s): Steven A. Hurst, Thomas Anthony Van Tiem, Mauricio Arcadier
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 08-01333 | 06/03/2009 | Claimant(s): Philip Richardson Revocable Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Marc S. Piven, Thomas Anthony Van Tiem, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | $431,000 |
