| 09-04852 | 01/25/2012 | Claimant(s): Edward Bowne
Claimant Lawyers(s): Cathleen Scott
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Deborah A. Catalano
Arbitrator(s): Myron E. Levenson, Gary Paul Whorton, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
| 09-02659 | 05/04/2010 | Claimant(s): Paulette Resnick
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Myron S. Dunay, Gary Paul Whorton, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
|  | $405,950 |
| 08-04196 | 02/17/2010 | Claimant(s): SMH Capital.
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Louis Berkowitz
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Kalman J. Lester, Gary Paul Whorton, Eugene D. Mirabello
Hearing Site: Boca Raton, FL
| | |
| 08-02599 | 04/20/2009 | Claimant(s): Betsy Rubin, Fred Rubin Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): David L. Hodgson, Steven E. Eisenberg, Gary Paul Whorton
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
