| 09-05979 | 07/15/2010 | Claimant(s): Martin Reisner
Claimant Lawyers(s): Charles D. Heidgerd
Respondent(s): David Maggio, Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Paul W. Sterman, Syma S. Kasdin, Mark I. Scheinbaum
Hearing Site: Boca Raton, FL
|  | $38,500 |
| 10-00595 | 07/12/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Michael Volts
Respondent Lawyers(s): Michael Volts
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
| 09-04606 | 07/02/2010 | Claimant(s): Anne Carmichael, Rev. Trust of Donald Carmichael
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia Morales Christiansen
Arbitrator(s): Steven Gerard Goerke, Mark T. Burnam, Marc Scott Shapiro
Hearing Site: Boca Raton, FL
| | $90,000 |
| 09-00059 | 06/25/2010 | Claimant(s): Gregory George
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Michael Destefano, FMSBonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): David M. Levine, Robert M. Schubert, Edward Arthur Horton
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 09-06630 | 06/24/2010 | Claimant(s): Gerald P. Lenaghan, IRA
Claimant Lawyers(s): Gerald P. Lenaghan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $10,395 |
| 09-00431 | 05/26/2010 | Claimant(s): Cornelio Popesco, Maria De Popesco, Liberty Trading, S.A.
Claimant Lawyers(s): Paulino A. Nunez
Respondent(s): Jose Fincheltub
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Steven R. Reininger, Ilisa J. Smukler, Dana de Windt
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-03418 | 05/19/2010 | Claimant(s): Natalie Schwarz, Natalie Schwarz Trust, Residual Trust U/W/O Norman Schwarz
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Carlos E. Ayala, Stuart Harvey Ziegler, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04191 | 05/12/2010 | Claimant(s): Paul Taylor
Claimant Lawyers(s): Paul Taylor
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
| | $2,820 |
| 09-04979 | 05/12/2010 | Claimant(s): Joseph Mason, Marian Mason
Claimant Lawyers(s): Joseph D. Mason
Respondent(s): Lawrence Passaretti
Respondent Lawyers(s): Jessica F. Longobardi
Arbitrator(s): Burt R. Rose
Hearing Site: Boca Raton, FL
| | $38 |
| 09-01713 | 05/10/2010 | Claimant(s): Mary Buchanan
Claimant Lawyers(s): Mary Jo Buchanan
Respondent(s): Leumi Investment Services.
Respondent Lawyers(s): Michelle I Bougdanos
Arbitrator(s): Kimberly A. Gilmour, Berthold T. Berkwich, Barry S. Shanbron
Hearing Site: Boca Raton, FL
| | |
