| 11-03599 | 05/24/2012 | Claimant(s): Rhonda Lonardo
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jay Fischer
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
|  | $319 |
| 10-03102 | 05/23/2012 | Claimant(s): Esrick Investments, SME Capital, SME Children
Claimant Lawyers(s): John W. Waechter
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Matthew Triggs
Arbitrator(s): Jacque E. Sohm, Stephen I. Gilman, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00723 | 05/21/2012 | Claimant(s): Dianna Crossman
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wells Fargo Advisors, Cynthia Kines
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Cheryl E. Winton, Richard F. Lang, David Rich
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04897 | 05/15/2012 | Claimant(s): Jodi Simensky, Rosalee Simensky, Stephen Simensky, Stephen and Rosalee Simensky JTWROS, Rosalee Simensky Rev Trust, The Stephen Simensky Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wesley Holston
Arbitrator(s): Lawrence M. Green, Steven N. Ainbinder, Myron E. Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04152 | 04/26/2012 | Claimant(s): Alex DiSchino, Christopher DiSchino, Cosmo DiSchino, Alex DiSchino CUS Cosmo DiSchino, Cosmo DiSchino & Christopher DiSchino
Claimant Lawyers(s): Jane W. Muir
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa. B. Dodge
Arbitrator(s): Myron S. Dunay
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-03972 | 04/20/2012 | Claimant(s): Peter Graham Lee & Jennifer Patricia Lee
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Berthold T. Berkwich, Harold S. Stern, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | $0 |
| 11-00993 | 04/10/2012 | Claimant(s): Harvey Boritz, Harvey J. Boritz Rollover IRA
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Robert A. Sauerberg
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-03913 | 04/03/2012 | Claimant(s): Marvin Getlan
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, UBS Financial Services Inc.
Respondent Lawyers(s): Keith Olin, Tracy L. Gerber
Arbitrator(s): Linda M. Granata, Norman L. Weiss, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02971 | 03/30/2012 | Claimant(s): John Murphy
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Camille Besold, David M. Levine, Jon Stanley Spisiak
Hearing Site: Boca Raton, FL
| | $250,000 |
| 11-01571 | 03/20/2012 | Claimant(s): Shari Weidenbaum, Walter Weidenbaum, Walter Weidenbaum IRA, Walter Weidenbaum Trust UA 4/25/02
Claimant Lawyers(s): Walter Wiedenbaum
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | $75 |
