| 09-02201 | 08/13/2010 | Claimant(s): Scott A. Kurstin/CUS Gary Kurstin, Bette Kurstin Declaration of Trust, Gary A. Kurstin Trust, Ryan G. Kurstin Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): James W. Geiger, Kalman J. Lester, Thomas W. Miller
Hearing Site: Boca Raton, FL
|  | $75,000 |
| 09-00230 | 08/12/2010 | Claimant(s): Hal Mullins
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Bonnie A. Pearce, Stephen Kahane, Robert J. Buchner
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02697 | 08/03/2010 | Claimant(s): Amzak Capital Management, Gerald J. Kazma Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Donald R. McGahan, Myron E. Levenson, Joseph Benalt
Hearing Site: Boca Raton, FL
| | $1,817,300 |
| 09-06821 | 07/30/2010 | Claimant(s): Alfonso Lama Barna, Pablo Sanchez, Alvaro I. Zuniga C., Carmen Luz Valdes Guilisasti, Christian Sturms, Cynthia N. Cordingley P. & James Hyland, Francesca Porzio, Gilda F. Copello M., Jorge Lecaros Valdes, Jorge Lecaros Vergara, Jorge Sturms, Luis Antonio Ahumada & Victor Ahumada, Marcelo Fuchs S. & Jaime Fuchs S., Maria de la Paz Errazuriz, Mariela A. Zuniga C., Mauricio A. Zuniga C., Orione Porzio, Renate Stein, Rocco F. Natalino T. & Solange Thenoux
Claimant Lawyers(s): Sam Schwartz
Respondent(s): John Dutkowski, Rodolfo Pages, Stanchart Securities Int'l Inc
Respondent Lawyers(s): Ricardo A. Gonzalez
Arbitrator(s): Bruce N. Sankin, Gloria O. North, Stephen Kahane
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04209 | 07/27/2010 | Claimant(s): The Estate of Philip Greenbaum
Claimant Lawyers(s): Adam Doner
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Ronald H. Walton, Barth Satuloff, Louis Moroff
Hearing Site: Boca Raton, FL
| | $190,000 |
| 09-05979 | 07/15/2010 | Claimant(s): Martin Reisner
Claimant Lawyers(s): Charles D. Heidgerd
Respondent(s): David Maggio, Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Paul W. Sterman, Syma S. Kasdin, Mark I. Scheinbaum
Hearing Site: Boca Raton, FL
| | $38,500 |
| 09-04606 | 07/02/2010 | Claimant(s): Anne Carmichael, Rev. Trust of Donald Carmichael
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia Morales Christiansen
Arbitrator(s): Steven Gerard Goerke, Mark T. Burnam, Marc Scott Shapiro
Hearing Site: Boca Raton, FL
| | $90,000 |
| 09-00059 | 06/25/2010 | Claimant(s): Gregory George
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Michael Destefano, FMSBonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): David M. Levine, Robert M. Schubert, Edward Arthur Horton
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 09-06630 | 06/24/2010 | Claimant(s): Gerald P. Lenaghan, IRA
Claimant Lawyers(s): Gerald P. Lenaghan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $10,395 |
| 09-00431 | 05/26/2010 | Claimant(s): Cornelio Popesco, Maria De Popesco, Liberty Trading, S.A.
Claimant Lawyers(s): Paulino A. Nunez
Respondent(s): Jose Fincheltub
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Steven R. Reininger, Ilisa J. Smukler, Dana de Windt
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
