| 11-01626 | 12/20/2013 | Claimant(s): Principle Capital Partners, L.P.
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert Topp
Arbitrator(s): Joel Margolies, Perry Earl Phillips, Harvey Russell Preston
Hearing Site: Boca Raton, FL
|  | $137,000 |
| 12-01521 | 12/18/2013 | Claimant(s): The Herman Drazick Revocable Living Trst
Claimant Lawyers(s): Charles Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02715 | 12/04/2013 | Claimant(s): J Goldsmith, Katherine Goldsmith
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Monica I. Salis, Steven Ira Weinberger, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01404 | 11/15/2013 | Claimant(s): Sharon Gardner-Howder, Sharon E. Gardner-Howder IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Steven E. Eisenberg, Michael D Felton, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00422 | 11/13/2013 | Claimant(s): Randy Maslow
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Katherine M. Jensen
Arbitrator(s): Jack Stein, Steven Gerard Goerke, Richard Carl Smukler
Hearing Site: Boca Raton, FL
| | $0 |
| 11-01302 | 11/07/2013 | Claimant(s): Karen Roberts
Claimant Lawyers(s): Mark Hunter
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Ilisa J. Smukler
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-01480 | 11/07/2013 | Claimant(s): Denise Valentini
Claimant Lawyers(s): Denise L. Valentini
Respondent(s): Meyers Associates, L.P.
Respondent Lawyers(s): David S. Schrader
Arbitrator(s): Steven R. Reininger, Joseph T. Donnantuoni, Dennis M. Ross
Hearing Site: Boca Raton, FL
| | $0 |
| 12-01357 | 11/06/2013 | Claimant(s): Thomas B. Weigand and Irene M. Weigand
Claimant Lawyers(s): Ronald M. Rowars
Respondent(s): Christopher Sinkula, Citigroup Global Markets., Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner, Sean J. Coughlin
Arbitrator(s): James A. Collins, Robert J. Buchner, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00285 | 11/01/2013 | Claimant(s): Eric J. Altschul, as Trustee under Irrev, Karen Altschul, as Trustee under Irrevoc
Claimant Lawyers(s): Andrew Zeitlin, Gregor J. Schwinghammer
Respondent(s): Daniel Crowley, Rochdale Securities LLC
Respondent Lawyers(s): Christopher Major, Eric Lee
Arbitrator(s): Diane M. Perry
Hearing Site: Boca Raton, FL
| | $579,200 |
| 12-02562 | 10/23/2013 | Claimant(s): Michael Pistillo
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Keating Investment Management
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Linda M. Granata, Robert A. Fabricant, Alice J. Johnson
Hearing Site: Boca Raton, FL
| | Expungement |
