| 11-01506 | 11/21/2012 | Claimant(s): Helen D. Ross, FBO IRA, Ronald J. Ross, MD FBO IRA
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Christopher Prassas, Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Ellen Sessions
Arbitrator(s): Stan West, Michael J. Quarequio, David Gerber
Hearing Site: Boca Raton, FL
|  | Expungement |
| 10-05262 | 10/08/2012 | Claimant(s): Diane Wendin
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Stephens.
Respondent Lawyers(s): Kim Keller Fowler
Arbitrator(s): Stan West, Barth Satuloff, John S. Leech
Hearing Site: Boca Raton, FL
| | $15,749 |
| 09-06817 | 03/06/2012 | Claimant(s): Carole Helman
Claimant Lawyers(s): Mindy Helman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Stan West, Paul W. Sterman, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | $0 |
| 09-06859 | 06/16/2011 | Claimant(s): Dr. Donald Steinberg Revocable Trust
Claimant Lawyers(s): Donald Steinberg
Respondent(s): Citigroup Global Markets., Morgan Stanley, Thomas Konopka
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Stan West
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-02448 | 10/01/2010 | Claimant(s): Jerry Stiffel
Claimant Lawyers(s): Jerry Stiffel
Respondent(s): Muhammad Khan, Bluechip Securities.
Respondent Lawyers(s): Muhammad Khan
Arbitrator(s): Stan West, Stanley Seidman, Eugene H. Steele
Hearing Site: Boca Raton, FL
| | $97,330 |
| 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 |
| 08-04312 | 06/10/2010 | Claimant(s): Esberaldo Martinez and Olga M. Martinez
Claimant Lawyers(s): Marie E. Lopez Adames
Respondent(s): Alberto Perez, Citigroup Global Markets.
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Stan West, Robert H. Hagan, Nancy J. Cliff
Hearing Site: San Juan, PR
| | $212,875 |
| 08-04967 | 04/30/2010 | Claimant(s): Henri Blain
Claimant Lawyers(s): Nicki Samson
Respondent(s): Michael Borgioli, Fidelity Brokerage Services LLC, FMSBONDS.
Respondent Lawyers(s): Julie W. Portera, Sydney A. Marks
Arbitrator(s): Stan West, John C. Newsom, James W. Geiger
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 08-02448 | 09/23/2009 | Claimant(s): Ava Doppelt, Carl Napolitano, Herbert Allen, Michael Taylor, Richard Warther, Sandra Kemraj, Stephen Milbrath, 401k PSP & Trust for Employees
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Stan West, Irwin Baron, Mitchel Weiss
Hearing Site: Orlando, FL
| | $0 |
| 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 |
