| 08-04810 | 06/16/2009 | Claimant(s): Michael Prevor Roth IRA
Claimant Lawyers(s): Michael A. Prevor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
|  | $5,319 |
| 08-04789 | 06/09/2009 | Claimant(s): Harriet Pearlman and Alan Pearlman JT Te
Claimant Lawyers(s): Alan Pearlman
Respondent(s): Natcity Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | $6,797 |
| 08-01333 | 06/03/2009 | Claimant(s): Philip Richardson Revocable Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Marc S. Piven, Thomas Anthony Van Tiem, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | $431,000 |
| 08-03651 | 05/28/2009 | Claimant(s): Joseph Gorman
Claimant Lawyers(s): Randall C. Place
Respondent(s): Morgan Stanley & Co., Mary Meeker
Respondent Lawyers(s): Jason E. Fedo
Arbitrator(s): Mark C. Perry, George G. Kurschner, Bruce M. Alster
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12504 |
| 08-04503 | 05/13/2009 | Claimant(s): Sylvia Ferber TTEE U/A 11/13/97 by Sylvi
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): William R. Alheim
Hearing Site: Boca Raton, FL
| | $24,415 |
| 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 |
