| 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 |
| 11-01674 | 07/30/2012 | Claimant(s): Sidney Steinberg
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Harold S. Stern, Steven E. Eisenberg, Mark J. McCarthy
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04871 | 07/26/2012 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Ronald Shindler
Respondent(s): Michelle Davis, Peter Bermont
Respondent Lawyers(s): Jeffrey R. Sonn, Ronald Shindler
Arbitrator(s): David P. Slater, Neil J. Berman, Rodolfo C. Angulo
Hearing Site: Miami, FL
| | |
| 11-00917 | 07/13/2012 | Claimant(s): Chongqing Du, Li Zhu
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Herbert S. Bratt, Robert S. Burk, Grant D. Sanders
Hearing Site: Des Moines, IA
| | $300 |
| 11-02238 | 06/08/2012 | Claimant(s): Raymer F. Maguire Trust
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Diana A. Weiner, Raymond E. Cornelius
Hearing Site: Orlando, FL
| | Expungement |
| 09-06877 | 01/12/2012 | Claimant(s): Alben Realty Corporation, Babylon Repair Service., Alben Realtor Corporation Retirement PSP
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): FMSBonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Neil J. Berman, Robert G. Falbisaner, Fred Abramoff
Hearing Site: Miami, FL
| | Stipulated Award |
| 09-05894 | 05/31/2011 | Claimant(s): John Hart
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Gawley, Keith Olin
Arbitrator(s): Paul E. Flora, Thomas J. Patka, Gary E. Marcus
Hearing Site: Tampa, FL
| | Expungement |
| 09-02798 | 09/23/2010 | Claimant(s): Julius Cantor
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Bradford Goldner, American Portfolios Financial Services,
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Brendan M. Murphy, Robert Stephen Burns
Hearing Site: Tampa, FL
| | Stipulated Award and Expungement |
