| 10-01899 | 05/04/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Walter Vazquez
Respondent Lawyers(s): Walter Vazquez
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
| 11-02148 | 04/27/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): David J. Sullivan
Respondent(s): Thomas Cash
Respondent Lawyers(s): Jon P. Skelton
Arbitrator(s): Syma S. Kasdin
Hearing Site: Boca Raton, FL
| | |
| 10-04152 | 04/26/2012 | Claimant(s): Alex DiSchino, Christopher DiSchino, Cosmo DiSchino, Alex DiSchino CUS Cosmo DiSchino, Cosmo DiSchino & Christopher DiSchino
Claimant Lawyers(s): Jane W. Muir
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa. B. Dodge
Arbitrator(s): Myron S. Dunay
Hearing Site: Boca Raton, FL
|  | Expungement |
| 09-03972 | 04/20/2012 | Claimant(s): Peter Graham Lee & Jennifer Patricia Lee
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Berthold T. Berkwich, Harold S. Stern, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | $0 |
| 11-00993 | 04/10/2012 | Claimant(s): Harvey Boritz, Harvey J. Boritz Rollover IRA
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Robert A. Sauerberg
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04432 | 04/03/2012 | Claimant(s): Meri Ramazio, Tamara Smolchek
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Harriet A. Kottick, Bonnie A. Pearce, Fred Abramoff
Hearing Site: Boca Raton, FL
| | |
| 09-03913 | 04/03/2012 | Claimant(s): Marvin Getlan
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, UBS Financial Services Inc.
Respondent Lawyers(s): Keith Olin, Tracy L. Gerber
Arbitrator(s): Linda M. Granata, Norman L. Weiss, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02971 | 03/30/2012 | Claimant(s): John Murphy
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Camille Besold, David M. Levine, Jon Stanley Spisiak
Hearing Site: Boca Raton, FL
| | $250,000 |
| 11-01571 | 03/20/2012 | Claimant(s): Shari Weidenbaum, Walter Weidenbaum, Walter Weidenbaum IRA, Walter Weidenbaum Trust UA 4/25/02
Claimant Lawyers(s): Walter Wiedenbaum
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | $75 |
| 10-03700 | 03/19/2012 | Claimant(s): Mark Wilton
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Coren Stern
Arbitrator(s): Earl S. Schwarz, Bruce K. Isenberg, Perry Earl Phillips
Hearing Site: Boca Raton, FL
| | $0 |
