FINRA Awards for Jeffrey M. Aboloff

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-01753	12/10/2014	Claimant(s): Annalisa Mendez, Billye Turner, Catherine Hamilton, Daniel O'Malley, David Rubin, Dawn Rubin, Deborah Crowell, Delphaine Smith, Edwin Sanford, Harvey Trammell, Horacio Mendez, James Hamilton, John Turberville, Kerry Rinehart, Larry Davis, Marilyene Davis, Michael Long, Pamela Meador, Peter Isaac, Richard Turner, et al Claimant Lawyers(s): Donald L. Ferguson, Michael E. Criden, Scott D. Hirsch Respondent(s): Pershing LLC Respondent Lawyers(s): Elizabeth F. Edwards Arbitrator(s): Jeffrey M. Aboloff, Karen Roberts Washington, Clark Willis Richards Hearing Site: Houston, TX		$0
07-02314	08/28/2008	Claimant(s): Susan Key Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Arnold Riley, Debra Mae Stephens, Citigroup Global Markets., Michael Handlin, Ozzie Bauer, Thomas Howard, Financial Network Investment Corp., ING Financial Advisers Respondent Lawyers(s): Andrew R. Harvin, Greg Moore, Hugo A. Hilgendorff, IV Arbitrator(s): Leonard J. Sullivan, Jeffrey M. Aboloff, Philip I. McConnell Hearing Site: Houston, TX		Stipulated Award and Expungement