| 09-04025 | 07/07/2011 | Claimant(s): Marilyn Berger and Barry Berger
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Herbert Branitsky, Laura Jeanette Cognetti, James M. Chase
Hearing Site: Boca Raton, FL
|  | Expungement |
| 10-04644 | 06/17/2011 | Claimant(s): Florence Ford
Claimant Lawyers(s): Florence G. Ford
Respondent(s): Richard Proia
Respondent Lawyers(s): Richard Joseph Proia
Arbitrator(s): Myron S. Dunay
Hearing Site: Boca Raton, FL
| | $0 |
| 08-04763 | 06/16/2011 | Claimant(s): Steven L. West & Judith West Jt Rev Tr
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): James Shawver, William Isaacson, Newbridge Securities Corporation
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Robert H. Hagan, David P. Slater, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-06859 | 06/16/2011 | Claimant(s): Dr. Donald Steinberg Revocable Trust
Claimant Lawyers(s): Donald Steinberg
Respondent(s): Citigroup Global Markets., Morgan Stanley, Thomas Konopka
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Stan West
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04755 | 06/07/2011 | Claimant(s): Andrew Schroder
Claimant Lawyers(s): Andrew Schroder
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): George R. Canty
Hearing Site: Boca Raton, FL
| | $350 |
| 09-04721 | 05/27/2011 | Claimant(s): Guy Abbanat
Claimant Lawyers(s): James R. Hubbard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): G. Robert Abrams, Lawrence M. Green, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
| 10-03475 | 05/25/2011 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B Clarke
Respondent(s): Donn Sanders
Respondent Lawyers(s): Brett A. Elam
Arbitrator(s): Myron S. Dunay
Hearing Site: Boca Raton, FL
| | |
| 08-01566 | 05/23/2011 | Claimant(s): Frank Rodriguez, Susan Rodriguez, Frank/Susan Rodriguez for Alexandra, et.
Claimant Lawyers(s): David Chacin, Frank Rodriguez
Respondent(s): Kenneth Brown, K.W. Brown Investments, Wendy Brown
Respondent Lawyers(s): Mark David Hunter, Michael S. Hill, Russell L. Forkey
Arbitrator(s): Donald M. Homer, Michael J. Quarequio, Robert M. Schwedel
Hearing Site: Boca Raton, FL
| | $520,353 |
| 10-00008 | 05/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Cailin Heilig
Respondent(s): Eric Matheson
Respondent Lawyers(s): David N. Mair
Arbitrator(s): Gary W. Pollack, Marc T. Danon, Mark David Hunter
Hearing Site: Boca Raton, FL
| | |
| 09-07122 | 05/11/2011 | Claimant(s): Gray Ingram
Claimant Lawyers(s): Scott J. Link
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marc T. Danon, Michael D Felton, Philip L. Manczak
Hearing Site: Boca Raton, FL
| | $600 |
