| 09-04560 | 03/21/2011 | Claimant(s): Daniel Gorman
Claimant Lawyers(s): John G. Rich
Respondent(s): J.P. Morgan Securities, Bear, Stearns & Co..
Respondent Lawyers(s): Timothy E. Di Domenico
Arbitrator(s): Monica I. Salis, Frederick P. Hartman, Les R. Campbell
Hearing Site: Boca Raton, FL
|  | $0 |
| 10-05239 | 03/15/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Charles Norvell
Respondent Lawyers(s): Charles R. Norvell
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
| 09-03002 | 03/14/2011 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): Morgan Keegan & Company., Todd Rozzo
Respondent Lawyers(s): Charles M. Dalziel, Marc S. Dobin
Arbitrator(s): Allen Kilik, Ellen J. Abrams, Ronald J. Kovack
Hearing Site: Boca Raton, FL
| | |
| 10-02377 | 03/11/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Max Jaffee
Respondent Lawyers(s): Max Jaffee
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | |
| 10-02050 | 03/08/2011 | Claimant(s): Byron Meads, John Wyllys, Max Manack
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Milton and Dorothy Aronowitz
Respondent Lawyers(s): Scott L. Silver
Arbitrator(s): Robert B. Kane, Frances D. Sheehy, Charles Hoffman
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02524 | 03/07/2011 | Claimant(s): Leonard Massello
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert Harris
Arbitrator(s): Edward R. Niederriter, Judith Kelner Chu, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | $259,400 |
| 09-05496 | 03/01/2011 | Claimant(s): IB Corp Investments and Business Group
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Norman L. Weiss, Robert A. Fabricant, Todd M. Saunders
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 10-00933 | 02/24/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Richard Plevy
Respondent Lawyers(s): Adam D. Palmer
Arbitrator(s): Jeffrey C. Thompson, Ilisa J. Smukler, William Kent Brown
Hearing Site: Boca Raton, FL
| | |
| 10-03568 | 02/22/2011 | Claimant(s): Sheldon Teichman & Karen Teichman
Claimant Lawyers(s): Sheldon Teichman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith Faro
Arbitrator(s): Michael J. Quarequio
Hearing Site: Boca Raton, FL
| | $38 |
| 09-05210 | 02/11/2011 | Claimant(s): Patricia Schluter
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Carlos Gonzalez, Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Mark C. Perry, David Gerber, Ronald Kenneth Summers
Hearing Site: Boca Raton, FL
| | Expungement |
