| 11-03927 | 05/29/2013 | Claimant(s): Linda Rupp, Russell Rupp
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Robert J. Buchner, Philip L. Manczak, Kenneth Herbert Mitchell
Hearing Site: Ft. Lauderdale, FL
|  | $735,367 |
| 11-02396 | 05/02/2013 | Claimant(s): Kenneth Nelson, Kris Nelson, Carol W. Nelson, Carol W. Nelson Trust, Kenneth A. Nelson Irrevocable Insurance, Kenneth A. Nelson Revocable Trust
Claimant Lawyers(s): Daniel H. Charest
Respondent(s): Jason Stephens, UBS Financial Services Inc., The Stephens Wealth Management Group
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Barry David Thorpe, Philip L. Manczak, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-01825 | 05/25/2012 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ian Kass, Delaney Equity Group Llc, Penson Financial Services.
Respondent Lawyers(s): David R. Chase, Mark Cuccaro
Arbitrator(s): Harvey Alan Blicksilver, Philip L. Manczak, Stefano Ferruggia
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 10-05539 | 03/16/2012 | Claimant(s): David Flaat, Linda Flaat, David L. Flatt Rev. Trust, Linda M. Flaat Rev Trust
Claimant Lawyers(s): David Flaat
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George Sullivan
Arbitrator(s): Linda M. Granata, Nancy J. Cliff, Philip L. Manczak
Hearing Site: Ft. Lauderdale, FL
| | Dismissed by Rule 12504 |
| 09-07122 | 05/11/2011 | Claimant(s): Gray Ingram
Claimant Lawyers(s): Scott J. Link
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marc T. Danon, Michael D Felton, Philip L. Manczak
Hearing Site: Boca Raton, FL
| | $600 |
| 09-04900 | 08/30/2010 | Claimant(s): Alvin Kling, Pearl Kling, Alvin Kling Revocable Trust, Howard Gary Kling Irrevocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Andrew W. Robertson
Arbitrator(s): Michael J. Quarequio, Philip L. Manczak
Hearing Site: Boca Raton, FL
| | $18,300 |
