| 08-01366 | 01/30/2009 | Claimant(s): David Mer
Claimant Lawyers(s): David Mer
Respondent(s): Daniel Bellino, Fred Cornett, Morgan Stanley & Co.
Respondent Lawyers(s): Doreen S. Young
Arbitrator(s): Bernard S. Carrey, William R. Alheim, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
|  | $525 |
| 06-03292 | 01/28/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Robert Peck
Respondent Lawyers(s): Robert Peck
Arbitrator(s): Robert B. Kane, Nelson J. Brous, Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 08-00198 | 01/28/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Marshall Isaacson
Respondent Lawyers(s): Delmer C. Gowing
Arbitrator(s): S. William Gersten
Hearing Site: Boca Raton, FL
| | |
| 03-08656 | 01/12/2009 | Claimant(s): Amelia Evans
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Robert J. Buchner
Hearing Site: Boca Raton, FL
| | $27,396 |
| 07-00169 | 01/06/2009 | Claimant(s): Donald Scott
Claimant Lawyers(s): Stuart Reed
Respondent(s): Jeffrey Ramson, KAL Trading
Respondent Lawyers(s): Jeffrey Ramson, Robert Bertsch
Arbitrator(s): Nancy J. Cliff, Alfred P. Reeves, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | |
| 04-05069 | 01/06/2009 | Claimant(s): Morgan P. Ostrow & John P. Ostrow etal
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Gerald M. Siegel
Hearing Site: Boca Raton, FL
| | $0 |
| 08-00040 | 12/31/2008 | Claimant(s): Cecilia Greenberg and Milton Greenberg
Claimant Lawyers(s): Seth Huberman
Respondent(s): Patrick Gaines
Respondent Lawyers(s): William Zeena
Arbitrator(s): Carl Shechter, Edwin J. Slovitt, C. Harold Schwartz
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 08-01853 | 12/31/2008 | Claimant(s): Morton & Edith Kimmel Rev. Living Trust
Claimant Lawyers(s): Morton Kimmel
Respondent(s): Kenneth Saunders, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Donald J. Spero
Hearing Site: Boca Raton, FL
| | $213 |
| 07-03387 | 12/24/2008 | Claimant(s): Marilyn Bloch
Claimant Lawyers(s): Marilyn Bloch
Respondent(s): LPL fka Linsco/Private Ledger Corp., Teresa DiLorenzoL Financial Services ( part of LPL)
Respondent Lawyers(s): Amanda C. Hawley, Kathy M. Klock
Arbitrator(s): Charles Hoffman, Herbert Schwartz, Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 06-01615 | 12/19/2008 | Claimant(s): Nancy Wolin
Claimant Lawyers(s): Alicia Santana Torres
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew Thibaut
Arbitrator(s): Sanford M. Naiditch, Brian William Schremp, Kenneth E. Merklen
Hearing Site: Boca Raton, FL
| | $0 |
