| 10-03425 | 02/14/2012 | Claimant(s): Francis Hempfling
Claimant Lawyers(s): Layne Verebay
Respondent(s): Wachovia Securities, Eric Nilson
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Janet N. Smiles, Sydney E. Blum
Hearing Site: Ft. Lauderdale, FL
|  | Expungement |
| 10-04349 | 02/09/2012 | Claimant(s): Lois Hirschtritt
Claimant Lawyers(s): Richard Hirschtritt
Respondent(s): Lawrence Lee, Rockwell Global Capital LLC
Respondent Lawyers(s): Lawrence Y. Lee, Robert M. Bursky
Arbitrator(s): Ellen J. Abrams
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 11-02344 | 02/08/2012 | Claimant(s): Paulson Investment Company
Claimant Lawyers(s): Steven C. Berman
Respondent(s): John Boelke
Respondent Lawyers(s): John Raphael Boelke
Arbitrator(s): Frances D. Sheehy
Hearing Site: Ft. Lauderdale, FL
| | |
| 11-00671 | 12/27/2011 | Claimant(s): Barclays Capital.
Claimant Lawyers(s): Andrea Block
Respondent(s): Felipe Coello, Tom Kalaris
Respondent Lawyers(s): Andrea Block, Douglas A. Kahle
Arbitrator(s): Jack Stein, Ellen J. Abrams, Paul J. Burkhart
Hearing Site: Ft. Lauderdale, FL
| | |
| 11-01828 | 11/30/2011 | Claimant(s): Alejandro Velez
Claimant Lawyers(s): Alejandro Velez
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Sheldon I. Saitlin
Hearing Site: Ft. Lauderdale, FL
| | $163 |
| 11-01523 | 11/17/2011 | Claimant(s): Michael Williamson
Claimant Lawyers(s): A. Andrew OBeidy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Monroe Mitchel, Robert K. Ruskin, Howard L. Conklin
Hearing Site: Ft. Lauderdale, FL
| | |
| 10-00052 | 11/07/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Ariel Hernandez
Respondent Lawyers(s): Ariel Hernandez
Arbitrator(s): David P. Slater, Jerry A. Desiderio, Harris Gally
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-06162 | 09/09/2011 | Claimant(s): Maya Sherrill, Nida Sherrill
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): John J. Hearn
Hearing Site: Ft. Lauderdale, FL
| | $225 |
| 11-01345 | 08/17/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Jonathan Benham
Respondent Lawyers(s): Jonathan Benham
Arbitrator(s): Frances D. Sheehy
Hearing Site: Ft. Lauderdale, FL
| | |
| 10-00886 | 07/29/2011 | Claimant(s): Thomas Anderson
Claimant Lawyers(s): Natalie M. Koss
Respondent(s): Fred Alger & Company.
Respondent Lawyers(s): Bennett L. Epstein
Arbitrator(s): Mark D. Quinn, Gloria O. North, Elena G. Rodriguez
Hearing Site: Ft. Lauderdale, FL
| | |
