| 10-01296 | 02/09/2011 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Danny Miller
Respondent Lawyers(s): Danny Robert Miller
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
| 08-04466 | 02/07/2011 | Claimant(s): D. Berghorst, Berghorst Snowbird LLC, Berghorst 98 Dynastic Tr/D Berghorst TTE
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments LLC
Respondent Lawyers(s): Alex J. Sabo, Richard C. Szuch
Arbitrator(s): Guy K. Stewart, Monroe Mitchel, Mark Sidell, Eugene Michael Kennedy, John B. Sochacki, Alfred L. Simon
Hearing Site: Boca Raton, FL
|  | $2,000,000 |
| 08-02511 | 01/18/2011 | Claimant(s): Joseph Torsiello
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): AXA Advisors
Respondent Lawyers(s): Elliot R. Good
Arbitrator(s): Sheldon I. Saitlin, Ned B. Young, Charles R. Smith
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02975 | 01/13/2011 | Claimant(s): Bernard Sussman, IRA, Bernard Sussman Revocable Trust
Claimant Lawyers(s): Michael Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Peter J. Lavezzoli, James W. Geiger, Mark I. Roth
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 10-01639 | 01/10/2011 | Claimant(s): Willard Friedman, SEP IRA, William Freidman IRA
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Brewer Financial Services
Respondent Lawyers(s): Adam Erickson
Arbitrator(s): Roy B. Gonas
Hearing Site: Boca Raton, FL
| | $85,225 |
| 10-03448 | 12/31/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Orin Port
Respondent Lawyers(s): Orin Port
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Boca Raton, FL
| | |
| 10-01151 | 12/31/2010 | Claimant(s): Aydee Ospina
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | $40,150 |
| 09-05050 | 12/20/2010 | Claimant(s): Jeffrey Penner, Phyllis Penner
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Mark C. Perry, James W. Geiger, Mary H. Cory
Hearing Site: Boca Raton, FL
| | $0 |
| 10-02393 | 12/15/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): Michael Leichman
Respondent Lawyers(s): Michael Alan Leichman
Arbitrator(s): Allen D. Schwartz
Hearing Site: Boca Raton, FL
| | |
| 09-07256 | 12/01/2010 | Claimant(s): Phillip Semenick
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Chicago Investment Group
Respondent Lawyers(s): Richard P. Lynch
Arbitrator(s): Joseph J. Slotnik, Stanley Seidman, Harold S. Stern
Hearing Site: Boca Raton, FL
| | |
