10-05263 | 02/02/2012 | Claimant(s): Stephen and Diane Levine Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Guardian Investor Services LLC, Park Avenue Securities LLC Respondent Lawyers(s): John C. Kelly Arbitrator(s): Steven Gerard Goerke, Paul W. Sterman, Robert H. Loevin Hearing Site: Boca Raton, FL
| | $300,000 |
10-04326 | 12/14/2011 | Claimant(s): Daniel Martorano, Janet Goodstein, Laurie Martorano Claimant Lawyers(s): Daniel Mortorano, Scott L. Silver Respondent(s): Steven L. Falk and Associates Respondent Lawyers(s): Steven L. Falk Arbitrator(s): Steven Gerard Goerke, Mark T. Burnam, Marie Paulette Levine Hearing Site: Boca Raton, FL
| | $487,202 |
10-03405 | 12/02/2011 | Claimant(s): Karen Roberts Claimant Lawyers(s): Tiffany J. Brown Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Raul Sanchez Arbitrator(s): Steven Gerard Goerke, Barth Satuloff, Bernard A. Taub Hearing Site: Boca Raton, FL
| | Expungement |
09-03593 | 03/21/2011 | Claimant(s): Roman Bardens Claimant Lawyers(s): Jeffrey Erez Respondent(s): Wachovia Securities Respondent Lawyers(s): Keith Olin Arbitrator(s): Steven Gerard Goerke Hearing Site: Ft. Lauderdale, FL
| | $10,000 |
09-05922 | 12/06/2010 | Claimant(s): Alicia Cofresi-Vila Claimant Lawyers(s): Rafael E. Lugo-Sotomayor Respondent(s): Miguel Suau, Popular Securities. Respondent Lawyers(s): Alan M. Wolper Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Jaime J. Aponte-Parsi Hearing Site: San Juan, PR
| | $0 |
09-05415 | 11/10/2010 | Claimant(s): Lenore J. Gaynor Decl . of Trust Claimant Lawyers(s): David R. Chase Respondent(s): Morgan Stanley Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): James D. McDonald, Steven Gerard Goerke Hearing Site: Boca Raton, FL
| | Expungement |
09-04606 | 07/02/2010 | Claimant(s): Anne Carmichael, Rev. Trust of Donald Carmichael Claimant Lawyers(s): Adam T. Rabin Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Patricia Morales Christiansen Arbitrator(s): Steven Gerard Goerke, Mark T. Burnam, Marc Scott Shapiro Hearing Site: Boca Raton, FL
| | $90,000 |
09-00383 | 02/04/2010 | Claimant(s): JNG Consulting LLC Claimant Lawyers(s): Seth Huberman Respondent(s): Albert Poliak, Douglas Kaiser, Frank Salvatore, Robert Keyser, Thomas Field, Thomas Hands, William Fox, Dawson James Securities. Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Steven Gerard Goerke, Kathy N. Novick, Stuart Harvey Ziegler Hearing Site: Boca Raton, FL
| | Expungement |
07-00773 | 11/26/2008 | Claimant(s): Estee Gilad Claimant Lawyers(s): Darren C. Blum Respondent(s): Andrew Costa, Costa Financial Securities. Respondent Lawyers(s): Brain D. Buckstein, Brian D. Buckstein Arbitrator(s): Steven Gerard Goerke, Alvin Spier, Lee E. Karofsky Hearing Site: Boca Raton, FL
| | $85,225 |
07-00799 | 09/05/2008 | Claimant(s): Arie Aloni, Hava Aloni 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): Alexander I. Heckman, Steven Gerard Goerke, Elaine Feldman Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |