| 09-01033 | 12/30/2009 | Claimant(s): Walter D. Blake-Trustee
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): James Jahnsen, Marc Friedson, J. B. Hanauer & Co
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): George W. Rodormer
Hearing Site: Boca Raton, FL
|  | $0 |
| 09-02956 | 12/29/2009 | Claimant(s): Jose Fabian Severi & Ana Maria Silva JTW
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | $16,213 |
| 09-00068 | 12/23/2009 | Claimant(s): Marilyn Rosov Rev Trust
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Coren Stern
Arbitrator(s): Peter J. Lavezzoli, John A. Mazzarella
Hearing Site: Boca Raton, FL
| | $167,570 |
| 08-04669 | 12/11/2009 | Claimant(s): Mark Perlman
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): Michael Lau, Charles Hoffman, Randi Perry Spallina
Hearing Site: Boca Raton, FL
| | $43,357 |
| 09-04002 | 12/08/2009 | Claimant(s): Sylvia E. Mejia, IRAs
Claimant Lawyers(s): Sylvia Mejia
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Phylis A. Hartrich
Arbitrator(s): Donald M. Homer
Hearing Site: Boca Raton, FL
| | $0 |
| 08-04636 | 12/03/2009 | Claimant(s): STG Realty Corp.
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Terrance Bostic
Arbitrator(s): Guy K. Stewart, Monroe Mitchel, Susan M. Dunning
Hearing Site: Boca Raton, FL
| | $0 |
| 08-04493 | 11/16/2009 | Claimant(s): Professional Properties Management Inc.
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Linda Greener, Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Steven N. Ainbinder, S. William Gersten, Scott Manker
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-02500 | 11/13/2009 | Claimant(s): Elizabeth Dankman
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation
Respondent Lawyers(s): Alex Sabo, H. Thomas Fehn, Michael G. Shannon, Tracy L. Gerber
Arbitrator(s): Alexander I. Heckman, Peter A. Cartwright, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 08-03942 | 11/13/2009 | Claimant(s): Nicholas Loeb
Claimant Lawyers(s): Nick Loeb
Respondent(s): Lawrence Caplan
Respondent Lawyers(s): Lawrence Paul Caplan
Arbitrator(s): James B. May, Stuart Harvey Ziegler, Thomas R. Noonan
Hearing Site: Boca Raton, FL
| | $0 |
| 09-00748 | 10/28/2009 | Claimant(s): Alan Evans
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Ettore Ventrice, Michael Bober, Sanford Steinberg
Respondent Lawyers(s): James D. Sallah
Arbitrator(s): Sheldon I. Saitlin, Richard J. Kaplan, Edwin J. Slovitt
Hearing Site: Boca Raton, FL
| | $0 |
