| 09-00127 | 02/17/2010 | Claimant(s): Sanford Josephson, Sanford Josephson Rev Living Trust
Claimant Lawyers(s): Alan Foxman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): David L. Hodgson, Gilbert A. Schnirman, Ellen J. Abrams
Hearing Site: Boca Raton, FL
|  | $0 |
| 09-00840 | 02/16/2010 | Claimant(s): John V.L. Parry & Susan M. Parry JTWROS, The Concetta V. Fearn Trust, The John & Susan Parry CR Trust
Claimant Lawyers(s): John V.L. Parry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Jernigan
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Janet N. Smiles, Marie G. Peterson, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | $588 |
| 09-01264 | 02/09/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Andrew Park
Respondent(s): Howard Walzer
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): G. Robert Abrams, Robert B. Kane, Suzanne E. Mowry
Hearing Site: Boca Raton, FL
| | |
| 09-00383 | 02/04/2010 | Claimant(s): JNG Consulting LLC
Claimant Lawyers(s): Seth Huberman
Respondent(s): Albert Poliak, Douglas Kaiser, Frank Salvatore, Robert Keyser, Thomas Field, Thomas Hands, William Fox, Dawson James Securities.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, Kathy N. Novick, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-02901 | 02/04/2010 | Claimant(s): Indian River Management
Claimant Lawyers(s): David A. Bardes
Respondent(s): Charles Atkins, Teresa Doane, Private Capital Management
Respondent Lawyers(s): Dana N. Pescosolido
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04048 | 02/01/2010 | Claimant(s): Sharon Duliga
Claimant Lawyers(s): Sharon Duliga
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christine M. Hanna
Arbitrator(s): Robert J. Saex
Hearing Site: Boca Raton, FL
| | $15,425 |
| 08-03088 | 01/27/2010 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Richard Darquea
Respondent Lawyers(s): Richard Darquea
Arbitrator(s): Michael A. Levin, Robert A. Fabricant, Arthur L. Tepper
Hearing Site: Boca Raton, FL
| | |
| 08-04195 | 01/25/2010 | Claimant(s): SMH Capital.
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Alan Pacella
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Robert K. Ruskin, Richard Andrew Cahlin, Lisa Marie Macci
Hearing Site: Boca Raton, FL
| | |
| 09-02077 | 01/08/2010 | Claimant(s): Mark Kielar, Tammy Kielar, ACTS Capital Investments
Claimant Lawyers(s): Scott J. Link
Respondent(s): Alterna Capital Corp.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Stuart Harvey Ziegler, Sydney E. Blum, Stephen Farquhar Adams
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-01033 | 12/30/2009 | Claimant(s): Walter D. Blake-Trustee
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): James Jahnsen, Marc Friedson, J. B. Hanauer & Co
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): George W. Rodormer
Hearing Site: Boca Raton, FL
| | $0 |
