| 09-03536 | 10/22/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Michael Bock
Respondent Lawyers(s): David J. Feingold
Arbitrator(s): Lawrence S. Silver, Jeffrey R. Roth, James Conrad Sankpill
Hearing Site: Miami, FL
| | |
| 08-00632 | 07/27/2010 | Claimant(s): Elizabeth Richert
Claimant Lawyers(s): Elizabeth K. Richert
Respondent(s): Timothy Ruggiero, Brookshire Securities Corporation
Respondent Lawyers(s): Ken Pollock
Arbitrator(s): Jonathan H. Parker, Lawrence S. Silver, Jeffrey R. Roth
Hearing Site: Miami, FL
|  | $17,500 |
| 08-03931 | 10/06/2009 | Claimant(s): Edie Dooley
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Wachovia Securities, Justin McLaughlin
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Steven M. Greenbaum, Lawrence S. Silver, Will Murphy
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 08-00380 | 06/17/2009 | Claimant(s): Carol Segal, Fredda Levitt, William Siegel
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): John Devaney, Merrill Lynch Pierce Fenner & Smith Inc., United Capital Markets.
Respondent Lawyers(s): Jason S. Haselkorn, Kim Kane
Arbitrator(s): Bernard (Bob) L. Loring, Norman L. Weiss, Lawrence S. Silver
Hearing Site: Miami, FL
| | Stipulated Award and Expungement |
| 08-04879 | 06/17/2009 | Claimant(s): Beatrice Dreisen U/A/D 02/09/90
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): David M. Levine, Lawrence S. Silver, Neil J. Berman
Hearing Site: Miami, FL
| | $262,000 |
| 07-03478 | 10/14/2008 | Claimant(s): Michael Villasana
Claimant Lawyers(s): Peter J. Aldrich
Respondent(s): Gloria Gomez
Respondent Lawyers(s): Gloria Gomez
Arbitrator(s): John J. Hearn, Lawrence S. Silver, Neil J. Berman
Hearing Site: Miami, FL
| | Expungement |
| 06-05049 | 01/29/2008 | Claimant(s): Stephan Rupp, Professional Investment Group
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Brian Herman, Jay Noiman, Sean Callahan, Viewtrade Securities,.
Respondent Lawyers(s): Eugene Michael Kennedy
Arbitrator(s): R. Christopher Laux, Lawrence S. Silver, Peter A. Portley
Hearing Site: Boca Raton, FL
| | $25,000 |
