| 15-00126 | 07/21/2015 | Claimant(s): Cameron Knight
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Robert Persante
Arbitrator(s): Ian S. Greig
Hearing Site: Tampa, FL
|  | $15,425 |
| 13-00710 | 10/14/2013 | Claimant(s): Johanne Nalasco, Loui Nalasco, Peter Nalasco, Johanne Lavoie Nalasco IRA, Peter Nalasco IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Buckman, Buckman & Reid.
Respondent Lawyers(s): Michael D. Handelson
Arbitrator(s): Diane M. Perry
Hearing Site: Boca Raton, FL
| | $46,929 |
| 11-00611 | 10/17/2012 | Claimant(s): Peggy A. Boyles IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mimi B. Osiason, Frank Brenner, Audrey Belitz Rauchway
Hearing Site: Tampa, FL
| | $0 |
| 11-00385 | 06/20/2011 | Claimant(s): Richard Watts and Sally Warner Watts
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
| | $32,925 |
| 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 |
| 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 |
| 09-02171 | 01/26/2010 | Claimant(s): Diana Hojecki, James Hojecki, James V. Hojecki and Diana R. Hojecki
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Kenneth Popek, Calton & Associates.
Respondent Lawyers(s): Robert Persante
Arbitrator(s): Syma S. Kasdin, Nikola Bjelajac, Kimberlee Ann Fowler
Hearing Site: Ft. Lauderdale, FL
| | $607,780 |
| 08-04503 | 05/13/2009 | Claimant(s): Sylvia Ferber TTEE U/A 11/13/97 by Sylvi
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): William R. Alheim
Hearing Site: Boca Raton, FL
| | $24,415 |
| 08-03825 | 05/08/2009 | Claimant(s): Jacob Froess
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Amtrust Investment Services.
Respondent Lawyers(s): William L. Arnold
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | $19,173 |
| 04-01174 | 09/26/2007 | Claimant(s): Kenneth Moskowitz, Leonard Moskowitz
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): James Odorczuk, Lehman Brothers Inc, Todd Rubsamen
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): Gerry E. Feinberg, Saul Scheier, Jean C. Black
Hearing Site: New York, NY
| | Expungement |
