| 09-06768 | 12/01/2010 | Claimant(s): Seymour Lowell and Lee G. Lowell
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Randy R. Freedman, Gloria F. Katz, Mark David Hunter
Hearing Site: Boca Raton, FL
|  | Stipulated Award and Expungement |
| 08-02589 | 11/19/2010 | Claimant(s): Brenda Flautt, Frank L. Flautt,Jr. Rollover IRA, Frank L. Flautt, Jr. Revocable Trust, Flautt Family Foundation
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Michael Brady
Arbitrator(s): Richard W. Epstein, Martin P. Bergman, James Edward Edwards
Hearing Site: Boca Raton, FL
| | $1,826,120 |
| 09-05415 | 11/10/2010 | Claimant(s): Lenore J. Gaynor Decl . of Trust
Claimant Lawyers(s): David R. Chase
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): James D. McDonald, Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-01284 | 11/09/2010 | Claimant(s): Harold Y. Fain TTee of Harold Y. Fain
Claimant Lawyers(s): Harold Y. Fain
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05075 | 11/04/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross Carmel
Respondent(s): James Morse
Respondent Lawyers(s): James Grant Morse
Arbitrator(s): Michael S. Kozlow
Hearing Site: Boca Raton, FL
| | |
| 09-06370 | 11/03/2010 | Claimant(s): Vivian Escandon
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Doreen S. Young
Arbitrator(s): Jacque E. Sohm, Carl Shechter, Jack G. Armstrong
Hearing Site: Boca Raton, FL
| | $79,125 |
| 10-00514 | 11/02/2010 | Claimant(s): Molly Mendelsohn, Molly Mendelsohn Trust
Claimant Lawyers(s): Marc A. Wites
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Charles Hoffman, Stanley M. Goldberg, Alfred L. Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-02693 | 10/20/2010 | Claimant(s): Steven Weisberg, IRA FBO Steven L. Weisberg SunAmerica Tr, Steven L. Weisberg Rev. Trust
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Royal Alliance Associates., John Schwartz, Retirement Advisory Services.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Paul W. Sterman, Michael J. Quarequio, Eugene H. Steele
Hearing Site: Boca Raton, FL
| | $80,000 |
| 09-06961 | 10/15/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Jeffrey Taylor
Respondent Lawyers(s): Jeffrey Eugene Taylor
Arbitrator(s): George R. Canty
Hearing Site: Boca Raton, FL
| | |
| 09-00584 | 10/14/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Andrew Aragona
Respondent Lawyers(s): Wayne Hartke
Arbitrator(s): Harold S. Stern, Richard Charles Hotvedt
Hearing Site: Boca Raton, FL
| | |
