| 10-00943 | 06/01/2011 | Claimant(s): Juan Carvajal
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Jonathan H. Parker, Jeffrey R. Roth, Barry David Thorpe
Hearing Site: Miami, FL
| | |
| 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 |
| 08-03051 | 05/14/2010 | Claimant(s): Desa Trading Co.
Claimant Lawyers(s): Mark D. Hunter
Respondent(s): Carlos Garcia, Advanced Trading Services
Respondent Lawyers(s): Carlos Manuel Garcia
Arbitrator(s): Todd M. Saunders, Jeffrey R. Roth, John H. Claudy
Hearing Site: Miami, FL
| | $125,000 |
| 07-00572 | 10/10/2008 | Claimant(s): Connie Falterbauer, Harry Falterbauer
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Jay Noiman, Sean Callahan, Viewtrade Securities.
Respondent Lawyers(s): Peter W. Homer
Arbitrator(s): Richard Anthony Jannuzzi, Jeffrey R. Roth, Dennis J. Levin
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
