| 09-02981 | 05/07/2010 | Claimant(s): Barbara Minsky, Edwin Minsky, Barbara Minsky Trust, Edwin Minsky Trust
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): James D. McDonald, Mauricio Arcadier, Sidney Turner
Hearing Site: Boca Raton, FL
|  | $40,200 |
| 08-04982 | 05/04/2010 | Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Peter B. Wells
Respondent(s): Samuel Ruth
Respondent Lawyers(s): Samuel Alan Ruth
Arbitrator(s): Michele Y. Garelick, Alice J. Johnson, Donald M. Homer
Hearing Site: Boca Raton, FL
| | |
| 08-04983 | 05/04/2010 | Claimant(s): SMH Capital.
Claimant Lawyers(s): Peter Wells
Respondent(s): Jonathan Marcu
Respondent Lawyers(s): Jonathan Ted Marcu
Arbitrator(s): Peter J. Lavezzoli, Stephen L. Littauer, Jeffrey Lawrence Sarkin
Hearing Site: Boca Raton, FL
| | |
| 09-02659 | 05/04/2010 | Claimant(s): Paulette Resnick
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Myron S. Dunay, Gary Paul Whorton, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
| | $405,950 |
| 09-04808 | 05/04/2010 | Claimant(s): Penni Morris, Walter Morris, Walter A Morris III and Penni Morris
Claimant Lawyers(s): Penni & Walter Morris
Respondent(s): Ameriprise Financial Services., Michael Hanke
Respondent Lawyers(s): Courtney R. Reid, Nancy Landy
Arbitrator(s): Marie G. Peterson
Hearing Site: Boca Raton, FL
| | $26,475 |
| 09-00809 | 04/30/2010 | Claimant(s): June G. Krever, Marc L. Krever
Claimant Lawyers(s): Seth Huberman
Respondent(s): Citigroup Global Markets., Ronald Fishbein
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Thomas L. Curran, Carl Shechter, Kenneth E. Merklen
Hearing Site: Boca Raton, FL
| | $0 |
| 09-06414 | 04/28/2010 | Claimant(s): S. McKittrick Trust, TTEE Sharon McKittr
Claimant Lawyers(s): Sharon McKittrick Coulton
Respondent(s): David Goldberg, UBS Financial Services Inc., Loy McGowan, Scott Vehslage
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Frances D. Sheehy
Hearing Site: Boca Raton, FL
| | $2,225 |
| 09-00874 | 04/15/2010 | Claimant(s): Harriet Gale Trust, Harriet Gale Trustee, Irving Harris Trust, Irving Harris TTEE
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Craig R. Glasser
Arbitrator(s): Robert H. Hagan, David P. Slater, Jay E. Eckhaus
Hearing Site: Boca Raton, FL
| | $11,300 |
| 09-06195 | 04/12/2010 | Claimant(s): Jerry H. Green Residuary Trust
Claimant Lawyers(s): Scott J. Link
Respondent(s): Bradford Madison
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Michael Lau, Bonnie A. Pearce, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
| | Expungement |
| 07-02962 | 04/06/2010 | Claimant(s): Thomas Devere
Claimant Lawyers(s): Adam Palmer
Respondent(s): Peter McMullin, Robert Wasserman, Stephen Degroat, Empire Financial Group., Jesup & Lamont Securities Corp.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Stan West, Karen Z. Fischer, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | |
