10-03013 | 12/22/2010 | Claimant(s): Judith B. Rothenberg IRA Claimant Lawyers(s): Mark A. Tepper Respondent(s): Wachovia Securities Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Richard J. Kaplan Hearing Site: Ft. Lauderdale, FL
| | $31,673 |
09-00748 | 10/28/2009 | Claimant(s): Alan Evans Claimant Lawyers(s): Richard A. Stephens Respondent(s): Ettore Ventrice, Michael Bober, Sanford Steinberg Respondent Lawyers(s): James D. Sallah Arbitrator(s): Sheldon I. Saitlin, Richard J. Kaplan, Edwin J. Slovitt Hearing Site: Boca Raton, FL
| | $0 |
08-00533 | 07/13/2009 | Claimant(s): William Corcoran Claimant Lawyers(s): Richard A. Stephens Respondent(s): Prestige Financial Center. Respondent Lawyers(s): Jonathan B. Butler Arbitrator(s): John N. Breazeale, David P. Slater, Richard J. Kaplan Hearing Site: Boca Raton, FL
| | $402,253 |
08-01565 | 07/09/2009 | Claimant(s): Michael Greco, Salvatore Greco, Santo Greco, Cusano's Italian Bakery. Claimant Lawyers(s): Walter J. Mathews, Walton S. Kinsey Respondent(s): Empire Financial Group. Respondent Lawyers(s): Todd A. Zuckerbrod Arbitrator(s): Stan West, Richard J. Kaplan, Dennis J. Levin Hearing Site: Boca Raton, FL
| | $90,086 |
08-03825 | 05/08/2009 | Claimant(s): Jacob Froess Claimant Lawyers(s): Mark A. Tepper Respondent(s): Amtrust Investment Services. Respondent Lawyers(s): William L. Arnold Arbitrator(s): Richard J. Kaplan Hearing Site: Boca Raton, FL
| | $19,173 |
07-03387 | 12/24/2008 | Claimant(s): Marilyn Bloch Claimant Lawyers(s): Marilyn Bloch Respondent(s): LPL fka Linsco/Private Ledger Corp., Teresa DiLorenzoL Financial Services ( part of LPL) Respondent Lawyers(s): Amanda C. Hawley, Kathy M. Klock Arbitrator(s): Charles Hoffman, Herbert Schwartz, Richard J. Kaplan Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |