| 10-03013 | 12/22/2010 | Claimant(s): Judith B. Rothenberg IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Richard J. Kaplan
Hearing Site: Ft. Lauderdale, FL
|  | $31,673 |
| 10-00406 | 12/13/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Van Zovluck
Respondent Lawyers(s): Van G. Zovluck
Arbitrator(s): Richard J. Kaplan
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-01817 | 11/11/2010 | Claimant(s): Karl Cross
Claimant Lawyers(s): Christopher M. David
Respondent(s): E*Trade Securities LLC, Robert Russini
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): Herbert Branitsky, Robert J. Buchner, Les R. Campbell
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 08-04804 | 11/08/2010 | Claimant(s): Liat Toledano, Yizhak Toledano, Yizhak Toledano Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Seth L. Finkel, Thomas Czinner, Barry David Thorpe, Nanci Sondra Landy, Lee Alan Rosenblum, Harold S. Stern
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 09-03645 | 10/18/2010 | Claimant(s): Jerome Mayersak Fam. Ltd. Partnership
Claimant Lawyers(s): Jerome S. Mayersak
Respondent(s): Lightspeed Trading
Respondent Lawyers(s): Joseph Sullivan
Arbitrator(s): Ellen J. Abrams
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 09-03986 | 07/16/2010 | Claimant(s): Meryl Dell and Steven Dell
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Jenny Rothstein, Charles Schwab & Co..
Respondent Lawyers(s): Michele Fron
Arbitrator(s): Richard Anthony Jannuzzi, Barry David Thorpe, Robert M. Schwedel
Hearing Site: Ft. Lauderdale, FL
| | Stipulated Award and Expungement |
| 09-01715 | 06/23/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Joe Cantu
Respondent Lawyers(s): Joe M. Cantu
Arbitrator(s): Peter J. Lavezzoli, Thomas L. Curran, Donald R. McGahan
Hearing Site: Ft. Lauderdale, FL
| | |
| 08-03677 | 06/09/2010 | Claimant(s): Paramount Vending., Albert Miniaci Revocable Trust, Beatriz Miniaci Revocable Trust, Dominick Miniaci Revocable Trust, Rose Miniaci Revocable Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Burt R. Rose, Michael S. Davidoff, Stanley M. Goldberg
Hearing Site: Ft. Lauderdale, FL
| | $990,110 |
| 09-04142 | 05/27/2010 | Claimant(s): Donald Rose
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Howard Wolkowitz, AXA Advisors, Brinker Capital.
Respondent Lawyers(s): Russell A. Divak, William A. Kebler, William R. Grimm
Arbitrator(s): Richard S. Zaifert
Hearing Site: Ft. Lauderdale, FL
| | $34,670 |
| 08-04967 | 04/30/2010 | Claimant(s): Henri Blain
Claimant Lawyers(s): Nicki Samson
Respondent(s): Michael Borgioli, Fidelity Brokerage Services LLC, FMSBONDS.
Respondent Lawyers(s): Julie W. Portera, Sydney A. Marks
Arbitrator(s): Stan West, John C. Newsom, James W. Geiger
Hearing Site: Ft. Lauderdale, FL
| | $0 |
