| 07-02447 | 08/14/2008 | Claimant(s): Bernice Kramer
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Leighton Applefeld
Respondent Lawyers(s): Leighton David Applefeld
Arbitrator(s): Randy R. Freedman, Lanny M. Leff, David Rich
Hearing Site: Boca Raton, FL
|  | $1,121,910 |
| 08-00205 | 07/24/2008 | Claimant(s): Alan Greenspan
Claimant Lawyers(s): Alan Neil Greenspan
Respondent(s): Zions Direct.
Respondent Lawyers(s): Kevin Klundt
Arbitrator(s): Arnold Levine
Hearing Site: Boca Raton, FL
| | $2,011 |
| 07-02881 | 07/18/2008 | Claimant(s): John Rapillo
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): TD Ameritrade., Mikhael Halper
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Donald S. Tuck, Richard S. Zaifert, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 07-00796 | 07/17/2008 | Claimant(s): John Simon
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Arthur Lewis, CIBC World Markets Corp., Jeff Bank, Susan Sutherland
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Gary M. Landau, Frances D. Sheehy, Jonathan H. Parker
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 07-02031 | 07/15/2008 | Claimant(s): Osvaldo Alfonso
Claimant Lawyers(s): Osvaldo Alfonso
Respondent(s): Knickeita Vassel-Bullock, Merrill Lynch Pierce Fenner & Smith Inc., ICMA-RC Services
Respondent Lawyers(s): Angela A. Turiano, Jason Okera Keene
Arbitrator(s): Kimberly A. Gilmour, Adam Harrison Smith, Harold S. Stern
Hearing Site: Boca Raton, FL
| | $0 |
| 05-06360 | 07/02/2008 | Claimant(s): Ismael Aviles-Torres & Daisy Pastrana
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Ernesto Casco, Frank Bell, Jose Mirabal, New World Financial.
Respondent Lawyers(s): Ernesto J. Casco, F. Richard Bell, Gary S. Artzt, Jose Mirabal
Arbitrator(s): Joseph L. Bernstein, James A. Smith, Sanford M. Naiditch
Hearing Site: Boca Raton, FL
| | $377,955 |
| 07-01346 | 06/17/2008 | Claimant(s): Judy Schulman and Murray Bieda
Claimant Lawyers(s): Marc A. Wites
Respondent(s): Jason Woessner, National Financial Services LLC, Scott Brooks, Stanley Brooks, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Jason Woessner, Matthew Farley
Arbitrator(s): Lawrence M. Green, Stuart Harvey Ziegler, Edwin J. Slovitt
Hearing Site: Boca Raton, FL
| | $540,000 |
| 07-01653 | 05/23/2008 | Claimant(s): Steven Quint
Claimant Lawyers(s): Randall C. Place
Respondent(s): Citigroup Global Markets., Joseph Denicola
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $103,480 |
| 07-01409 | 05/15/2008 | Claimant(s): Eric Colman, Joan Colman
Claimant Lawyers(s): Joan Colman
Respondent(s): Andrew Costa, John Thomas, Costa Financial Securities.
Respondent Lawyers(s): Andrew J. Costa, President, John Thomas
Arbitrator(s): Barth Satuloff, Robert H. Loevin, Michael S. Kozlow
Hearing Site: Boca Raton, FL
| | $0 |
| 07-01464 | 05/08/2008 | Claimant(s): Arvilla Orton, Arvilla Lorraine Orton 1st Trust UA dtd
Claimant Lawyers(s): Allan M. Lerner
Respondent(s): Rebecca Engle
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Stuart M. Rapee, Joel F. Martineau, James Conrad Sankpill
Hearing Site: Boca Raton, FL
| | $245,940 |
