| 07-03558 | 10/21/2009 | Claimant(s): Jules Fox
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Timothy Ruggiero, Brookshire Securities Corporation
Respondent Lawyers(s): Timothy Burke Ruggiero
Arbitrator(s): Robert B. Kane, Paul W. Sterman, Joyce N. Brown
Hearing Site: Boca Raton, FL
|  | Stipulated Award |
| 09-02682 | 10/19/2009 | Claimant(s): Michael A. Matras Revocable Trust by Mic
Claimant Lawyers(s): Michael A. Matras
Respondent(s): Banc of America Investment Services Inc., Michael Cischke
Respondent Lawyers(s): Abby N. Ruth
Arbitrator(s): Richard E. Conner
Hearing Site: Boca Raton, FL
| | $0 |
| 08-03716 | 09/30/2009 | Claimant(s): Joseph Billera, JOGLO Associates
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David C. Franceski
Arbitrator(s): Monroe Mitchel, Will Murphy, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | $250,000 |
| 08-00363 | 09/24/2009 | Claimant(s): Mr. Robert J. Kraus
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): Christopher Fluehr, Suntrust Investment Services.
Respondent Lawyers(s): Richard H. Bergman
Arbitrator(s): Steven A. Hurst, Thomas Anthony Van Tiem, Mauricio Arcadier
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 08-04279 | 09/17/2009 | Claimant(s): Samuel Plesser
Claimant Lawyers(s): Lee H. Schillinger
Respondent(s): Jason Laing, Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Melvin Jarolem, Mauricio Arcadier, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-01777 | 09/02/2009 | Claimant(s): FBO MRK Rev. Trust by Myles Klein Ttte
Claimant Lawyers(s): Myles Klein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Allen Kilik
Hearing Site: Boca Raton, FL
| | $0 |
| 08-03217 | 08/31/2009 | Claimant(s): Melissa Kreisberg, Wayne Kreisberg
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Monroe Mitchel, Marc Scott Shapiro, Allen J. Lefton
Hearing Site: Boca Raton, FL
| | $40,000 |
| 07-00624 | 08/19/2009 | Claimant(s): Barbara Freudmann, Fern Greene, Gunnar Pedersen, Joan Ezersky, Judith Pedersen, Maxine Jaffe, Randi Greenfield, Randy Greenfield, Ruth Grimes, Sheila Kramer, Shirley Wishnew, Stefan Greene, Judith Pedersen on behalf of Alexa, Noah, Michael Casper Custodial, CUS for Rose Shimerg, Steven Casper Custodial, Carol Hoffer IRA, John Casper, Marian Green, Martin Green, et al
Claimant Lawyers(s): Darren C. Blum, James D. Sallah, Joshua A. Katz, Scott L. Silver
Respondent(s): Gary Gross
Respondent Lawyers(s): Gary Gross
Arbitrator(s): Guy K. Stewart, Roy B. Gonas, Geraldine A. Genco
Hearing Site: Boca Raton, FL
| | $1,470,470 |
| 06-04334 | 08/19/2009 | Claimant(s): Sheila Kramer, CUS for Roase Shimberg, Sheila G. Kramer Trust, UAD 9/29/94,
Claimant Lawyers(s): James D. Sallah
Respondent(s): Gary Gross
Respondent Lawyers(s): Gary J. Gross
Arbitrator(s): Burt R. Rose, John N. Breazeale, Martin P. Bergman
Hearing Site: Boca Raton, FL
| | $584,800 |
| 06-05284 | 08/19/2009 | Claimant(s): Barbara Freudmann, Jeffrey Kramer and Helen Kramer
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Gary Gross
Respondent Lawyers(s): Gary Gross
Arbitrator(s):
Hearing Site: Boca Raton, FL
| | $289,000 |
