| 11-00548 | 06/14/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Jeffrey Gargiulo
Respondent Lawyers(s): Gordon C. Lane
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Ft. Lauderdale, FL
| | |
| 10-05582 | 05/26/2011 | Claimant(s): United Planners' Financial Services of
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Richard Philipp
Respondent Lawyers(s): Richard J. Philipp
Arbitrator(s): Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-05603 | 03/29/2011 | Claimant(s): Judy Calufetti
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Susan Gottlieb
Respondent Lawyers(s): Melinda Lucas Peevy
Arbitrator(s): Frances D. Sheehy
Hearing Site: Ft. Lauderdale, 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 |
| 10-04181 | 02/28/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Marc Chait
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Monica I. Salis
Hearing Site: Ft. Lauderdale, FL
| | |
| 10-00597 | 02/22/2011 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Shawn Wooden
Respondent Lawyers(s): Shawn Wooden
Arbitrator(s): Bruce K. Isenberg, Mark I. Roth, Marcy R. Greer
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-01292 | 02/08/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Borders Consulting Services
Respondent Lawyers(s): Holiday Hunt Russell
Arbitrator(s): Ronald W. Devoe, Robert C. Werner, Mitchel Weiss
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 10-03736 | 01/21/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Marcelo Jacir
Respondent Lawyers(s): Marcelo Ivan Jacir
Arbitrator(s): Patricia A. Renovitch
Hearing Site: Ft. Lauderdale, FL
| | |
| 10-03576 | 01/19/2011 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Russell Dolly
Respondent Lawyers(s): Russell Dolly
Arbitrator(s): Bonnie A. Pearce
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-05841 | 01/06/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): A. Keith Logue, Dennis J. Levin, Marvin S. Lava
Hearing Site: Ft. Lauderdale, FL
| | |
