| 10-00935 | 06/19/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross David Carmel
Respondent(s): Brian Miller
Respondent Lawyers(s): Arthur D. Koski
Arbitrator(s): Myron S. Dunay, Gary King, Judith Ann Ripps
Hearing Site: Boca Raton, FL
| | |
| 09-06865 | 06/19/2012 | Claimant(s): David Shutan, IRA, David Shutan Revocable Trust, Irma Shutan Revocable Trust
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Jeffrey Sanders, Matt Winslow
Respondent Lawyers(s): Matt Winslow, Todd A. Zuckerbrod
Arbitrator(s): Steven R. Reininger, Joseph J. Slotnik, Joseph Leonard Friedes
Hearing Site: Boca Raton, FL
|  | Stipulated Award and Expungement |
| 11-01969 | 06/14/2012 | Claimant(s): Susan Mohseni
Claimant Lawyers(s): Younes Mohseni
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05157 | 06/11/2012 | Claimant(s): Linda Bassin Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Norry Luria, FMS Bonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Linda M. Granata, Richard S. Zaifert, Michael T. Williams
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 11-00529 | 06/11/2012 | Claimant(s): Alice Muscara, Daniel Muscara
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Brad Chamness, Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Edward R. Niederriter, Gary King, Raymond Luis Leon
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03599 | 05/24/2012 | Claimant(s): Rhonda Lonardo
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jay Fischer
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
| | $319 |
| 10-03102 | 05/23/2012 | Claimant(s): Esrick Investments, SME Capital, SME Children
Claimant Lawyers(s): John W. Waechter
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Matthew Triggs
Arbitrator(s): Jacque E. Sohm, Stephen I. Gilman, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00723 | 05/21/2012 | Claimant(s): Dianna Crossman
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wells Fargo Advisors, Cynthia Kines
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Cheryl E. Winton, Richard F. Lang, David Rich
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04897 | 05/15/2012 | Claimant(s): Jodi Simensky, Rosalee Simensky, Stephen Simensky, Stephen and Rosalee Simensky JTWROS, Rosalee Simensky Rev Trust, The Stephen Simensky Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wesley Holston
Arbitrator(s): Lawrence M. Green, Steven N. Ainbinder, Myron E. Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-02937 | 05/04/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Brodie
Respondent(s): Jonathan Berstein
Respondent Lawyers(s): Carl F. Schoeppl
Arbitrator(s): Carl Shechter, Kevin S. Doty, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
| | |
