FINRA Awards for Gregory S. Kaufman

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-05119	09/11/2012	Claimant(s): Estate of Richard Greenfield, Anna Greenfield Trust Claimant Lawyers(s): Anthony J. Hartman Respondent(s): Bradley Schlang, David Spinar, Debra Hansen, Dennis King, Douglas Fehr, James Heeney, James Nagengast, Jay Idt, Securities America., Kevin Miller, Lamar Jones, Michael Perlmuter, Pamela Wertheim, Randy Schneider, Scott Cross, Scott Hoyt, Steven Mcwhorter, W. Cross, Securities America Advisors. Respondent Lawyers(s): Burton W. Wiand, Gregory S. Kaufman Arbitrator(s): Robert G. Conway, Gregory P. Szuter, Leroy Burton Parks Hearing Site: Cleveland, OH		Expungement
09-06706	04/05/2012	Claimant(s): Monica Boniadi, Robert Boniadi Claimant Lawyers(s): Erwin J. Shustak Respondent(s): David Vaughan, Debra Hansen, Donald Froude, Doreen Griffith, Gayle Parsons, Gregg Johnson, Ameriprise Financial Services., James Heeney, James Nagengast, Securities America., Kevin Miller, Kirk Hulett, Lamar Jones, Leon Johnson, Pamela Wertheim, Paul Huerter, Paul Lofties, Steven Mcwhorter, Terrance Dewald, Theresa James, et al Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward, Burton W. Wiand, Gregory S. Kaufman Arbitrator(s): Lester G. Stiel, Thomas J. Doherty, Mary Elizabeth Geerdes Hearing Site: San Diego, CA		Expungement