| 11-03167 | 12/14/2012 | Claimant(s): Jay Debow, Suzanne Debow, MLPF&S Cust FBO Jay Debow IRA, MLPF&S Cust FBO Suzanne Hayat Debow IRA, MLPF&S Cust FBO J. Debow Consulting P.S
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Mark Imbertson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Colleen M. Fitzgerald, Donald F. Winningham
Arbitrator(s): Frances D. Sheehy, Mark T. Burnam, Stephen Kahane
Hearing Site: Boca Raton, FL
|  | Expungement |
| 10-04974 | 12/13/2012 | Claimant(s): Jacques Bernard
Claimant Lawyers(s): David Neuman
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Kenneth F. Berg
Arbitrator(s): Linda M. Granata, Richard E. Blackman, Joseph Michael Librie
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00443 | 12/12/2012 | Claimant(s): Hugo R. Scala Jr. Rollover IRA, Scala Family Limited Partnership, Hugo R Scala Gift Trust DTD 12/23/1966, Hugo R. Scala Jr. Trust DTD 7/28/03
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Charles Hoffman, David E. Mowry, Alexander Myers
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-04213 | 12/10/2012 | Claimant(s): Natalie Faith
Claimant Lawyers(s): William J. Gladden
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Edward R. Niederriter, Robert G. Geeseman, Scott Manker
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-00011 | 12/04/2012 | Claimant(s): Steven Dworkin
Claimant Lawyers(s): Seth Huberman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Myron S. Dunay, Charles Hoffman, Jeffrey Lawrence Sarkin
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-04068 | 11/29/2012 | Claimant(s): Edward Laborio
Claimant Lawyers(s): Edward Laborio
Respondent(s): Robert Myers, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Laila Asmar Folk, Elena G. Rodriguez, Adrienne Elizabeth Rowles
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 11-01216 | 11/28/2012 | Claimant(s): Danisha Rolle, Samari Rolle
Claimant Lawyers(s): Robert J. Neary
Respondent(s): Jeffrey Rubin, Pro Sports Financial.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Susanne J. Hollander, Mark J. McCarthy, Laura Anne Wheeler
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02198 | 11/27/2012 | Claimant(s): Anita P. Hamburg, Anita P. Hamburg Revocable Living Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Bruce K. Isenberg, Ralph H. Emer, Howard Bernstein
Hearing Site: Boca Raton, FL
| | Expungement |
| 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 |
| 11-02536 | 11/20/2012 | Claimant(s): Martha Rudnick
Claimant Lawyers(s): Gary Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Saly Glassman
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): John E. Sutton, Harold S. Stern, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
