| 08-01683 | 09/30/2011 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): John Perry, Ronald Perry
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Thomas Czinner, Daniel P. Lund, Andrew David Kahng
Hearing Site: Boca Raton, FL
| | |
| 10-04579 | 09/30/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Daniel Derechin
Respondent(s): Anthony Fisher
Respondent Lawyers(s): Anthony Fisher
Arbitrator(s): Gary W. Pollack
Hearing Site: Boca Raton, FL
| | |
| 09-05639 | 09/28/2011 | Claimant(s): Ernst Mahler
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Monroe Mitchel, Ralph H. Emer, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | |
| 10-00470 | 09/14/2011 | Claimant(s): Muriel Egan
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Rose M. Schindler
Arbitrator(s): Ronald F. Rohe, Charles Hoffman, Carl Shechter
Hearing Site: Boca Raton, FL
|  | Stipulated Award |
| 10-02604 | 09/09/2011 | Claimant(s): David N. Russell 2000 Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
| | $37,731 |
| 10-04741 | 08/30/2011 | Claimant(s): Charlemagne Louis-Charles
Claimant Lawyers(s): Charlemagne Louis Louis-Charles
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): David H. Brodie
Arbitrator(s): Gregory S. Tendrich, Lisa Marie Macci, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
| 10-02002 | 08/23/2011 | Claimant(s): Deborah M. Menten Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Rose M. Schindler
Arbitrator(s): Howard N. Kahn, Richard S. Zaifert, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 10-04487 | 08/17/2011 | Claimant(s): John Sullivan
Claimant Lawyers(s): John F. Sullivan
Respondent(s): Andrew Kistler, Anthony Juliano, Christopher Zelesnick, Ameriprise Advisor Services., Douglas Aldridge, Frank Teodosio, Ameriprise Financial Services., Joan Cohen, Kathleen Dedenbach, Michael Barrella
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Alfred P. Reeves, Steven Ira Weinberger, Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | |
| 10-01541 | 08/09/2011 | Claimant(s): Thomas Mulvey and Diane Mulvey
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark C. Perry, Howard Bernstein, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | $0 |
| 10-02021 | 08/08/2011 | Claimant(s): William Neidner, Margaret L. Neidner Trust DTD 6/25/84
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Rose M. Schindler
Arbitrator(s): Harold S. Stern, Nikola Bjelajac, Marvin John Cashion
Hearing Site: Boca Raton, FL
| | Stipulated Award |
