| 09-05358 | 08/25/2010 | Claimant(s): Mark Kaufman
Claimant Lawyers(s): Alan J. Foxman
Respondent(s): Vfinance Investments
Respondent Lawyers(s): James K. Barbee
Arbitrator(s): Joseph L. Bernstein, Randi Perry Spallina, Connie J. Becker
Hearing Site: Boca Raton, FL
| | |
| 10-00923 | 08/19/2010 | Claimant(s): Dawson James Securities.
Claimant Lawyers(s): Albert J. Poliak
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Myron E. Levenson
Hearing Site: Boca Raton, FL
| | |
| 09-00807 | 08/19/2010 | Claimant(s): Austin Frishman, Barbara Frishman
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, FMSBonds.
Respondent Lawyers(s): Keith Olin, Sydney A. Marks
Arbitrator(s): S. William Gersten, Charles Hoffman, Jay E. Eckhaus
Hearing Site: Boca Raton, FL
|  | Stipulated Award |
| 09-02201 | 08/13/2010 | Claimant(s): Scott A. Kurstin/CUS Gary Kurstin, Bette Kurstin Declaration of Trust, Gary A. Kurstin Trust, Ryan G. Kurstin Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): James W. Geiger, Kalman J. Lester, Thomas W. Miller
Hearing Site: Boca Raton, FL
| | $75,000 |
| 09-00230 | 08/12/2010 | Claimant(s): Hal Mullins
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Bonnie A. Pearce, Stephen Kahane, Robert J. Buchner
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02697 | 08/03/2010 | Claimant(s): Amzak Capital Management, Gerald J. Kazma Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Donald R. McGahan, Myron E. Levenson, Joseph Benalt
Hearing Site: Boca Raton, FL
| | $1,817,300 |
| 09-06821 | 07/30/2010 | Claimant(s): Alfonso Lama Barna, Pablo Sanchez, Alvaro I. Zuniga C., Carmen Luz Valdes Guilisasti, Christian Sturms, Cynthia N. Cordingley P. & James Hyland, Francesca Porzio, Gilda F. Copello M., Jorge Lecaros Valdes, Jorge Lecaros Vergara, Jorge Sturms, Luis Antonio Ahumada & Victor Ahumada, Marcelo Fuchs S. & Jaime Fuchs S., Maria de la Paz Errazuriz, Mariela A. Zuniga C., Mauricio A. Zuniga C., Orione Porzio, Renate Stein, Rocco F. Natalino T. & Solange Thenoux
Claimant Lawyers(s): Sam Schwartz
Respondent(s): John Dutkowski, Rodolfo Pages, Stanchart Securities Int'l Inc
Respondent Lawyers(s): Ricardo A. Gonzalez
Arbitrator(s): Bruce N. Sankin, Gloria O. North, Stephen Kahane
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02455 | 07/28/2010 | Claimant(s): Alan Kirman, Peter Dunn
Claimant Lawyers(s): David J. Feingold
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Ellen J. Abrams, Michael J. Quarequio, Andrew R. Present
Hearing Site: Boca Raton, FL
| | |
| 09-04209 | 07/27/2010 | Claimant(s): The Estate of Philip Greenbaum
Claimant Lawyers(s): Adam Doner
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Ronald H. Walton, Barth Satuloff, Louis Moroff
Hearing Site: Boca Raton, FL
| | $190,000 |
| 08-01602 | 07/23/2010 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Owen Mulvaney
Respondent Lawyers(s): Owen Mulvaney
Arbitrator(s): Karen Z. Fischer, John Uustal, Dale W. Oliver
Hearing Site: Boca Raton, FL
| | |
