| 09-03913 | 04/03/2012 | Claimant(s): Marvin Getlan
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, UBS Financial Services Inc.
Respondent Lawyers(s): Keith Olin, Tracy L. Gerber
Arbitrator(s): Linda M. Granata, Norman L. Weiss, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-00052 | 03/05/2012 | Claimant(s): Paul Malkin, Phyllis Malkin
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Linda M. Granata, Melanie S. Cherdack, Joseph Michael Matthews
Hearing Site: Miami, FL
| | $90,298 |
| 09-05640 | 07/29/2011 | Claimant(s): Douglas M. Rudolph Partners, Ltd.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Franz C. Thame, Jerrold Levine, Bruce M. Alster
Hearing Site: Miami, FL
| | Expungement |
| 09-05894 | 05/31/2011 | Claimant(s): John Hart
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Gawley, Keith Olin
Arbitrator(s): Paul E. Flora, Thomas J. Patka, Gary E. Marcus
Hearing Site: Tampa, 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 |
| 09-05210 | 02/11/2011 | Claimant(s): Patricia Schluter
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Carlos Gonzalez, Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Mark C. Perry, David Gerber, Ronald Kenneth Summers
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-00807 | 08/19/2010 | Claimant(s): Austin Frishman, Barbara Frishman
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, FMSBonds.
Respondent Lawyers(s): Keith Olin, Sydney A. Marks
Arbitrator(s): S. William Gersten, Charles Hoffman, Jay E. Eckhaus
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 09-00809 | 04/30/2010 | Claimant(s): June G. Krever, Marc L. Krever
Claimant Lawyers(s): Seth Huberman
Respondent(s): Citigroup Global Markets., Ronald Fishbein
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Thomas L. Curran, Carl Shechter, Kenneth E. Merklen
Hearing Site: Boca Raton, FL
| | $0 |
| 08-04273 | 03/25/2010 | Claimant(s): Helen Schabot
Claimant Lawyers(s): Richard L. Burstein
Respondent(s): Anne Whelan, Wachovia Securities
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Jay F. Donnaruma, William G. Binckes, Kenneth Dymond
Hearing Site: Albany, NY
| | Stipulated Award and Expungement |
