| 16-00902 | 08/28/2017 | Claimant(s): Thomas E. Krause
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Steven N. Ainbinder, Donald Theodore Ryce, Andrew David Kahng
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-01262 | 07/17/2012 | Claimant(s): Gregg Smyth
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): VP Distributors Inc.
Respondent Lawyers(s): Thomas Mead Santoro
Arbitrator(s): Ellen J. Abrams, Lee Milich, Andrew David Kahng
Hearing Site: Boca Raton, FL
| | |
| 10-04099 | 01/20/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Daniel Laiter
Respondent Lawyers(s): Bernard S. Mandler
Arbitrator(s): Bruce K. Isenberg, Andrew David Kahng, Renaldy Jose Gutierrez
Hearing Site: Miami, FL
| | |
| 10-01163 | 10/27/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Luis Lopez
Respondent Lawyers(s): Brian Buckstein
Arbitrator(s): Gary M. Landau, Andrew David Kahng, Renaldy Jose Gutierrez
Hearing Site: Miami, FL
| | |
| 08-01683 | 09/30/2011 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): John Perry, Ronald Perry
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Thomas Czinner, Daniel P. Lund, Andrew David Kahng
Hearing Site: Boca Raton, FL
| | |
| 09-04417 | 02/10/2011 | Claimant(s): Samantha Sampson, Samantha Arlene Sampson Rev Living Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): The GMS Group
Respondent Lawyers(s): Don Boswell
Arbitrator(s): Mark F. Raymond, Barth Satuloff, Andrew David Kahng
Hearing Site: Miami, FL
| | $35,300 |
| 08-02687 | 10/22/2009 | Claimant(s): Allegiant Securities L.L.C.
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): Ira Weinstein
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Arthur J. Leibell, Craig Edward Stein, Andrew David Kahng
Hearing Site: Miami, FL
| | |
| 08-01600 | 08/06/2009 | Claimant(s): James Bach, James Bach Rev. Living Trust UAD 11/4/93
Claimant Lawyers(s): Steve J. Gard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): George R. Canty, Seth L. Finkel, Andrew David Kahng
Hearing Site: Miami, FL
| | $250,000 |
