| 10-01284 | 11/09/2010 | Claimant(s): Harold Y. Fain TTee of Harold Y. Fain
Claimant Lawyers(s): Harold Y. Fain
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
|  | $0 |
| 09-06370 | 11/03/2010 | Claimant(s): Vivian Escandon
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Doreen S. Young
Arbitrator(s): Jacque E. Sohm, Carl Shechter, Jack G. Armstrong
Hearing Site: Boca Raton, FL
| | $79,125 |
| 10-00514 | 11/02/2010 | Claimant(s): Molly Mendelsohn, Molly Mendelsohn Trust
Claimant Lawyers(s): Marc A. Wites
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Charles Hoffman, Stanley M. Goldberg, Alfred L. Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-02693 | 10/20/2010 | Claimant(s): Steven Weisberg, IRA FBO Steven L. Weisberg SunAmerica Tr, Steven L. Weisberg Rev. Trust
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Royal Alliance Associates., John Schwartz, Retirement Advisory Services.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Paul W. Sterman, Michael J. Quarequio, Eugene H. Steele
Hearing Site: Boca Raton, FL
| | $80,000 |
| 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 |
| 08-02926 | 09/15/2010 | Claimant(s): Ward Waldman Real Estate Services, Aaron E. Waldman and Patricia Waldman
Claimant Lawyers(s): Aaron Everett Waldman, Patricia Ward
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Frances D. Sheehy, Kathy N. Novick, Arnold Levine
Hearing Site: Boca Raton, FL
| | $300 |
| 09-02018 | 09/13/2010 | Claimant(s): Donna Appleby
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Bruce Pomerantz, Wachovia Securities
Respondent Lawyers(s): Matthew E. Wolper, Robert A. W. Boraks
Arbitrator(s): Susan M. Dunning, Stuart Harvey Ziegler, Walter A. Bajak
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-04900 | 08/30/2010 | Claimant(s): Alvin Kling, Pearl Kling, Alvin Kling Revocable Trust, Howard Gary Kling Irrevocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Andrew W. Robertson
Arbitrator(s): Michael J. Quarequio, Philip L. Manczak
Hearing Site: Boca Raton, FL
| | $18,300 |
| 09-00807 | 08/19/2010 | Claimant(s): Austin Frishman, Barbara Frishman
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, FMSBonds.
Respondent Lawyers(s): Keith Olin, Sydney A. Marks
Arbitrator(s): S. William Gersten, Charles Hoffman, Jay E. Eckhaus
Hearing Site: Boca Raton, FL
| | Stipulated Award |
