| 10-03700 | 03/19/2012 | Claimant(s): Mark Wilton
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Coren Stern
Arbitrator(s): Earl S. Schwarz, Bruce K. Isenberg, Perry Earl Phillips
Hearing Site: Boca Raton, FL
|  | $0 |
| 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 |
| 10-05604 | 02/29/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Erin Linehan Reyes
Respondent(s): Barbara Wortley
Respondent Lawyers(s): Robert A. Sweetapple
Arbitrator(s): John E. Sutton, Thomas C. Krumenacker, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | $0 |
| 09-06457 | 02/22/2012 | Claimant(s): Robert Locher
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Holly J. Sutton
Arbitrator(s): Linda M. Granata, James W. Geiger, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02019 | 02/17/2012 | Claimant(s): Palmieri Family Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Ilisa J. Smukler, William R. Alheim, Will Murphy
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-05260 | 02/16/2012 | Claimant(s): Nicki Lynn Dimopoulos
Claimant Lawyers(s): Evangelos Dimopoulos
Respondent(s): Wachovia Securities, Richard Dobler
Respondent Lawyers(s): Deirdre C. Wolf
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | $5,000 |
| 10-05263 | 02/02/2012 | Claimant(s): Stephen and Diane Levine
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Guardian Investor Services LLC, Park Avenue Securities LLC
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Steven Gerard Goerke, Paul W. Sterman, Robert H. Loevin
Hearing Site: Boca Raton, FL
| | $300,000 |
| 11-00981 | 01/31/2012 | Claimant(s): Robert King
Claimant Lawyers(s): Robert C. King
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Michael Lau
Hearing Site: Boca Raton, FL
| | $14,600 |
| 10-03103 | 01/25/2012 | Claimant(s): Blanche Gloetzner
Claimant Lawyers(s): Tiffany J. Brown
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Frances D. Sheehy, Harriet A. Kottick, Bonnie A. Pearce
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 10-02738 | 01/09/2012 | Claimant(s): Gubman Revocable Trust, Sidney Cohn Life Insurance Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): The GMS Group
Respondent Lawyers(s): Don Boswell
Arbitrator(s): Alyson R. Dachelet
Hearing Site: Boca Raton, FL
| | $69,866 |
