| 12-03581 | 05/15/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Richard Rosen
Respondent Lawyers(s): Richard Lawrence Rosen
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
| | |
| 12-02646 | 03/07/2013 | Claimant(s): Alfonso Boneta
Claimant Lawyers(s): Jonathan C. Schwartz
Respondent(s): Lydia Rodriguez Tirado, Oscar Diaz
Respondent Lawyers(s): Lydia Rodriguez Tirado, Oscar Diaz
Arbitrator(s): Bernard (Bob) L. Loring, Bernard A. Becker, Barth Satuloff
Hearing Site: San Juan, PR
| | Expungement |
| 12-02177 | 12/26/2012 | Claimant(s): Luis Felipe
Claimant Lawyers(s): Luis M Felipe
Respondent(s): Citi International Financial Services
Respondent Lawyers(s): Jonathan Cohen
Arbitrator(s): Barth Satuloff, Elena G. Rodriguez, Richard K. Hrebik
Hearing Site: San Juan, PR
|  | $0 |
| 10-05262 | 10/08/2012 | Claimant(s): Diane Wendin
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Stephens.
Respondent Lawyers(s): Kim Keller Fowler
Arbitrator(s): Stan West, Barth Satuloff, John S. Leech
Hearing Site: Boca Raton, FL
| | $15,749 |
| 11-00239 | 02/07/2012 | Claimant(s): Pavonia Investments, SA (Bahamas)
Claimant Lawyers(s): John J. Muldoon
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Bernard A. Becker, Barth Satuloff, Barry David Thorpe
Hearing Site: Miami, FL
| | $0 |
| 10-03405 | 12/02/2011 | Claimant(s): Karen Roberts
Claimant Lawyers(s): Tiffany J. Brown
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Steven Gerard Goerke, Barth Satuloff, Bernard A. Taub
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-00019 | 10/27/2011 | Claimant(s): Joaquin Egberto Ramirez Marcillo & Maria
Claimant Lawyers(s): Barbara J. Riesberg
Respondent(s): Julio Almeyda, Morgan Keegan & Company.
Respondent Lawyers(s): Janet P. Jakubowicz
Arbitrator(s): Barth Satuloff, Barry David Thorpe, Stephen Trigg Kuhn
Hearing Site: Miami, FL
| | $0 |
| 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 |
| 09-01002 | 12/17/2010 | Claimant(s): Freecharm Limited
Claimant Lawyers(s): Matthew L. Jones
Respondent(s): Flavio Lobato, Gustavo Hegewisch, Jorge Garcia-Garcia, Atlas One Capital Management, Atlas One Financial Group
Respondent Lawyers(s): Courtney Berman Green, Holly R. Skolnick
Arbitrator(s): John J. Hearn, Barth Satuloff, James Conrad Sankpill
Hearing Site: Miami, FL
| | $0 |
| 09-05108 | 09/29/2010 | Claimant(s): Wells Fargo Advisors, fka Wachovia
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Ivan Pulido
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Lewis J. Levey, Barth Satuloff, Neil J. Berman
Hearing Site: Miami, FL
| | |
