| 08-01888 | 05/08/2009 | Claimant(s): Julio C. Postigo, Julio C. Postigo Revoc Liv Tr, Vivian Postigo Liv Tr U/A DTD 10/23/97
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Lawrence M. Green
Hearing Site: Boca Raton, FL
|  | $4,296 |
| 08-03825 | 05/08/2009 | Claimant(s): Jacob Froess
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Amtrust Investment Services.
Respondent Lawyers(s): William L. Arnold
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | $19,173 |
| 08-03794 | 05/04/2009 | Claimant(s): Lila Kliegman, Trustee
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Norman L. Weiss
Hearing Site: Boca Raton, FL
| | $213 |
| 08-02599 | 04/20/2009 | Claimant(s): Betsy Rubin, Fred Rubin Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): David L. Hodgson, Steven E. Eisenberg, Gary Paul Whorton
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 08-01449 | 03/24/2009 | Claimant(s): The Haig G. Bogossian Trust
Claimant Lawyers(s): Haig G. Bogossian
Respondent(s): Morgan Stanley & Co., Mace Tamse
Respondent Lawyers(s): Daniel Derechin
Arbitrator(s): Stan West, Donald J. Spero, Allen J. Lefton
Hearing Site: Boca Raton, FL
| | $750 |
| 08-01348 | 03/20/2009 | Claimant(s): Tiffany Rayburn Godfrey Revocable Trust
Claimant Lawyers(s): Charles J. Bennardini
Respondent(s): Suntrust Investment Services.
Respondent Lawyers(s): Richard H. Bergman
Arbitrator(s): David G. Pittinos, Laila Asmar Folk, George J. Blutstein
Hearing Site: Boca Raton, FL
| | $464,296 |
| 08-02377 | 03/13/2009 | Claimant(s): Dolores Gardella
Claimant Lawyers(s): John D'Amato
Respondent(s): Charles Schwab & Co.., Sean Bies
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Joseph L. Bernstein
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 08-01553 | 03/13/2009 | Claimant(s): Lester Christianson
Claimant Lawyers(s): Lester Victor Christianson
Respondent(s): Robert Chen, Amtrust Investment Services.
Respondent Lawyers(s): William L. Arnold
Arbitrator(s): Alice J. Johnson
Hearing Site: Boca Raton, FL
| | $0 |
| 08-00991 | 03/02/2009 | Claimant(s): Dianne Saab, Nicholas Saab, American Voice Corp.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Stuart M. Rapee, Sanford M. Naiditch, Marie Paulette Levine
Hearing Site: Boca Raton, FL
| | $0 |
| 08-01913 | 02/27/2009 | Claimant(s): Lanny A. Horwitz Rev Trust
Claimant Lawyers(s): Lanny A. Horwitz
Respondent(s): Citigroup Global Markets
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Paul W. Sterman
Hearing Site: Boca Raton, FL
| | $213 |
