| 13-03747 | 03/03/2015 | Claimant(s): Charlie Boyd
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Garden State Securities.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
|  | $600 |
| 12-01423 | 06/27/2013 | Claimant(s): Ellen Gache, EBG Investments, LLP
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Levitt Capital Management
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Michael A. Levin, Perry Earl Phillips, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $0 |
| 08-01430 | 01/22/2013 | Claimant(s): VCG Special Opportunities Master Fund
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Allan J. Arffa
Arbitrator(s): Zuhayr A. Moghrabi, Patricia A. DeWitt, Jay L. Zelesnick
Hearing Site: New York, NY
| | $0 |
| 11-01043 | 07/16/2012 | Claimant(s): Estate of Jack A. Gambino
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Triad Advisors.
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Guy K. Stewart, Roy B. Gonas, Gary R Librizzi
Hearing Site: Boca Raton, FL
| | $260,147 |
| 10-01541 | 08/09/2011 | Claimant(s): Thomas Mulvey and Diane Mulvey
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark C. Perry, Howard Bernstein, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | $0 |
| 10-05763 | 07/21/2011 | Claimant(s): John P. Fowlds and Brenda J. Fowlds
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): James Galloway, PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $0 |
| 09-03418 | 05/19/2010 | Claimant(s): Natalie Schwarz, Natalie Schwarz Trust, Residual Trust U/W/O Norman Schwarz
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Carlos E. Ayala, Stuart Harvey Ziegler, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02981 | 05/07/2010 | Claimant(s): Barbara Minsky, Edwin Minsky, Barbara Minsky Trust, Edwin Minsky Trust
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): James D. McDonald, Mauricio Arcadier, Sidney Turner
Hearing Site: Boca Raton, FL
| | $40,200 |
| 09-02659 | 05/04/2010 | Claimant(s): Paulette Resnick
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Myron S. Dunay, Gary Paul Whorton, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
| | $405,950 |
| 09-00068 | 12/23/2009 | Claimant(s): Marilyn Rosov Rev Trust
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Coren Stern
Arbitrator(s): Peter J. Lavezzoli, John A. Mazzarella
Hearing Site: Boca Raton, FL
| | $167,570 |
