| 11-00782 | 09/19/2012 | Claimant(s): Richard Winslow
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Lawrence S. Silver, Herbert Branitsky, Andrew Jay Kohan
Hearing Site: Ft. Lauderdale, FL
|  | Stipulated Award and Expungement |
| 10-05360 | 09/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bernard (Bob) L. Loring, Charles Hoffman, Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
| | |
| 11-04409 | 09/07/2012 | Claimant(s): The Bachman Living Trust
Claimant Lawyers(s): Richard P. Bachman
Respondent(s): John Cumbow, Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): David M. Levine
Hearing Site: Ft. Lauderdale, FL
| | $10,000 |
| 11-03930 | 07/13/2012 | Claimant(s): Deborah A. Lerner and Jerry S. Lerner
Claimant Lawyers(s): Jeffrey A. Sellers
Respondent(s): Lyle Rosenbaum, Sean Young
Respondent Lawyers(s): Lyle Andrew Rosenbaum, Sean Anthony Young
Arbitrator(s): Neil J. Berman
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 11-02320 | 07/12/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Paul Saxenmeyer
Respondent Lawyers(s): Paul Saxenmeyer
Arbitrator(s): George J. Blutstein
Hearing Site: Ft. Lauderdale, FL
| | |
| 11-03311 | 05/29/2012 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Sean Premock
Respondent Lawyers(s): Sean Donald Premock
Arbitrator(s): Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
| | |
| 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 |
| 11-00793 | 04/05/2012 | Claimant(s): Elizabeth Dawson
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): Jeffrey R. Roth
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 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 |
| 11-01172 | 03/12/2012 | Claimant(s): John Boelke
Claimant Lawyers(s): John Raphael Boelke
Respondent(s): Paulson Investment Company
Respondent Lawyers(s): Steven C. Berman
Arbitrator(s): Gustavus L. Pearthree, David M. Levine, C. Richard Mancini
Hearing Site: Ft. Lauderdale, FL
| | |
