| 09-06817 | 03/06/2012 | Claimant(s): Carole Helman
Claimant Lawyers(s): Mindy Helman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Stan West, Paul W. Sterman, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
|  | $0 |
| 11-03909 | 03/01/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Alan Gross
Respondent Lawyers(s): Alan H. Gross
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
| 10-05604 | 02/29/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Erin Linehan Reyes
Respondent(s): Barbara Wortley
Respondent Lawyers(s): Robert A. Sweetapple
Arbitrator(s): John E. Sutton, Thomas C. Krumenacker, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | $0 |
| 09-06457 | 02/22/2012 | Claimant(s): Robert Locher
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Holly J. Sutton
Arbitrator(s): Linda M. Granata, James W. Geiger, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02019 | 02/17/2012 | Claimant(s): Palmieri Family Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Ilisa J. Smukler, William R. Alheim, Will Murphy
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-05260 | 02/16/2012 | Claimant(s): Nicki Lynn Dimopoulos
Claimant Lawyers(s): Evangelos Dimopoulos
Respondent(s): Wachovia Securities, Richard Dobler
Respondent Lawyers(s): Deirdre C. Wolf
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | $5,000 |
| 10-05263 | 02/02/2012 | Claimant(s): Stephen and Diane Levine
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Guardian Investor Services LLC, Park Avenue Securities LLC
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Steven Gerard Goerke, Paul W. Sterman, Robert H. Loevin
Hearing Site: Boca Raton, FL
| | $300,000 |
| 11-00981 | 01/31/2012 | Claimant(s): Robert King
Claimant Lawyers(s): Robert C. King
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Michael Lau
Hearing Site: Boca Raton, FL
| | $14,600 |
| 10-05384 | 01/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Juan Lariva
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Myron S. Dunay
Hearing Site: Boca Raton, FL
| | |
| 09-04852 | 01/25/2012 | Claimant(s): Edward Bowne
Claimant Lawyers(s): Cathleen Scott
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Deborah A. Catalano
Arbitrator(s): Myron E. Levenson, Gary Paul Whorton, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
