| 10-04312 | 05/02/2011 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Keith Golden
Respondent Lawyers(s): Keith Alan Golden
Arbitrator(s): Richard Charles Hotvedt
Hearing Site: Boca Raton, FL
| | |
| 09-06055 | 04/19/2011 | Claimant(s): Gary Hillert
Claimant Lawyers(s): Scott L. Silver
Respondent(s): The GMS Group
Respondent Lawyers(s): John E. Jenkins
Arbitrator(s): Frances D. Sheehy, John H. Claudy, Theodore Israel Herold
Hearing Site: Boca Raton, FL
|  | $0 |
| 10-00622 | 04/18/2011 | Claimant(s): John McMickle
Claimant Lawyers(s): John H. McMickle
Respondent(s): George Moler, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marie G. Peterson, Harvey Russell Preston, Doug Campbell
Hearing Site: Boca Raton, FL
| | $0 |
| 09-06918 | 04/12/2011 | Claimant(s): Leiter Family Trust
Claimant Lawyers(s): Stuart Meissner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Guy K. Stewart, Myron E. Levenson, Dennis J. Levin
Hearing Site: Boca Raton, FL
| | $2,388,230 |
| 09-04352 | 04/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Todd Ratner
Respondent(s): Mitchell Yanow
Respondent Lawyers(s): Mitchell T. Yanow
Arbitrator(s): Bernard S. Carrey, Harry Dressler, Laura Jane Starr
Hearing Site: Boca Raton, FL
| | |
| 09-02906 | 04/08/2011 | Claimant(s): Jay Raubvogel, Seymour Raubvogel, M. Raubvogel Co. Inc. Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): James D. McDonald, Randy R. Freedman, Steven G. Montesi
Hearing Site: Boca Raton, FL
| | $766,935 |
| 10-01895 | 04/08/2011 | Claimant(s): Arthur Warburton Revocable Living Trust
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Gloria O. North, Patricia Morin, Paul Joseph McIntyre
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-04269 | 04/05/2011 | Claimant(s): Charlotte Leitner IRA, Lionel Leitner Revocable Trust, Lionel/Charlotte Leitner Family Trust, The Charlotte Lleitner Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paul M. Tyrrell
Arbitrator(s): Richard J. Kaplan, Michael J. Fingar, John H. Claudy
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-00366 | 03/31/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Elizabeth E. Moum
Respondent(s): Primo Musumeci
Respondent Lawyers(s): Dogan M. Bengisu
Arbitrator(s): Steven A. Hurst, James W. Geiger, Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | $0 |
| 10-02434 | 03/30/2011 | Claimant(s): Natalie Schoengood
Claimant Lawyers(s): Natalie Schoengood
Respondent(s): David Klein
Respondent Lawyers(s): David Louis Klein
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | $25,425 |
