| 11-02601 | 12/30/2013 | Claimant(s): Robert Peyser
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Laurence Briggs, Lawrence Kirshbaum, Timothy Gautney, William Chapman, Alexander Capital Markets, Alexander Financial, Aura Financial Services., Investin Securities Corp., Prestige Financial Center.
Respondent Lawyers(s): Laurence Briggs, Lawrence Kirshbaum, Legal Department, Timothy Gautney, William Chapman
Arbitrator(s): Jeffrey R. Roth, Louis David Huss, Robert Charles Stamm
Hearing Site: Miami, FL
|  | $1,722,330 |
| 09-04244 | 12/29/2010 | Claimant(s): Jeffrey Haugh, Linda Haugh, AAA Consulting, Mid-Atlantic Anesthesia, P.A., Jeffrey T. Haugh and Linda Haugh
Claimant Lawyers(s): Mark M. Dumler
Respondent(s): Aura Financial Services., Harvard Funding Group., Westpark Capital.
Respondent Lawyers(s): John Woodruff, Richard Kraut
Arbitrator(s): Richard E. Lauziere, Robert T. Reeves, Alan Robert Malasky
Hearing Site: Baltimore, MD
| | $585,000 |
| 09-05423 | 06/17/2010 | Claimant(s): James Kane and Agnes Kane
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): John Woodruff
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
| | $25,000 |
| 08-03921 | 11/09/2009 | Claimant(s): Ronald Hardy
Claimant Lawyers(s): Howard E. Greenberg
Respondent(s): Thomas Zulkowsky, Aura Financial Services.
Respondent Lawyers(s): Glenn M. Salvo, John Woodruff, Jr. Compliance
Arbitrator(s): Kathryn J. Hoy, Christine C. DeMoss, Jeffrey W. Jacobs
Hearing Site: Minneapolis, MN
| | $115,923 |
| 09-00947 | 11/09/2009 | Claimant(s): Thomas Zulkosky
Claimant Lawyers(s): J. Jackson
Respondent(s): Ronald Hardy, Aura Financial Services.
Respondent Lawyers(s): Howard E. Greenberg, John Woodruff, Jr. Compliance
Arbitrator(s):
Hearing Site: Minneapolis, MN
| | $115,923 |
