| 07-01210 | 11/18/2008 | Claimant(s): Aura Financial Services.
Claimant Lawyers(s): David H. Lichter
Respondent(s): Dipin Mala, Eric Blum, Harsh Jayaswal, Irving Burstein, Ivan Angulo, Kamlesh Lalwani, Nitin Bahirwani, Niyukt Bhasin, Rohit Khemka, Sandeep Singh, Shondeep Balchandani, Sidhar Dhawan, Timothy Gautney, NSM Securities.
Respondent Lawyers(s): David H. Lichter, Harry J. Delagrammatikas
Arbitrator(s):
Hearing Site: Boca Raton, FL
| | |
| 07-03118 | 11/17/2008 | Claimant(s): TRB Family Partners, LTD, Tom Boltz MP
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Lawrence Rule, Morgan Keegan & Company.
Respondent Lawyers(s): Alan J. Foxman, Thomas A. Roberts
Arbitrator(s): Laila Asmar Folk, David L. Giertz, Emanuel Goren
Hearing Site: Boca Raton, FL
|  | $0 |
| 08-01545 | 11/10/2008 | Claimant(s): Dawson James Securities.
Claimant Lawyers(s): Monique MacLaren
Respondent(s): Chanchal Mehta
Respondent Lawyers(s): Chanchal Mehta
Arbitrator(s): Ronald H. Walton
Hearing Site: Boca Raton, FL
| | |
| 07-01049 | 10/30/2008 | Claimant(s): Helen Alpert
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Byron Meads, Doria Sabia-Florence, John Wyllys, Max Manack, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Doria Sabia-Florence, Neil S. Baritz
Arbitrator(s): Susan M. Dunning, William E. Schneider, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | $370,290 |
| 07-03018 | 10/28/2008 | Claimant(s): Giovanni Acevedo
Claimant Lawyers(s): Giovanni L. Acevedo
Respondent(s): Christina Doone
Respondent Lawyers(s): Gloria O. North
Arbitrator(s): Craig Edward Stein, Sheldon N. Reibman, Michele Y. Garelick
Hearing Site: Boca Raton, FL
| | $15,000 |
| 07-02724 | 10/22/2008 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Gary Richard Irwin
Respondent(s): Wayne Sorokowski
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Arthur J. Leibell, Ted Romanos, William R. Alheim
Hearing Site: Boca Raton, FL
| | |
| 08-01546 | 10/22/2008 | Claimant(s): Dawson James Securities.
Claimant Lawyers(s): Albert J. Poliak
Respondent(s): Joseph Galbo
Respondent Lawyers(s): Steven M. Selz
Arbitrator(s): Lionel P. Greenbaum
Hearing Site: Boca Raton, FL
| | |
| 07-00572 | 10/10/2008 | Claimant(s): Connie Falterbauer, Harry Falterbauer
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Jay Noiman, Sean Callahan, Viewtrade Securities.
Respondent Lawyers(s): Peter W. Homer
Arbitrator(s): Richard Anthony Jannuzzi, Jeffrey R. Roth, Dennis J. Levin
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 07-03194 | 10/09/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Joel Cohen
Respondent Lawyers(s): Joel Cohen
Arbitrator(s): Guy K. Stewart
Hearing Site: Boca Raton, FL
| | $0 |
| 07-02381 | 09/26/2008 | Claimant(s): Raymond Filorimo
Claimant Lawyers(s): Delmer C. Gowing
Respondent(s): David Smith, Robert Copus, Intervest International Equities
Respondent Lawyers(s): Melissa D. Hubbard
Arbitrator(s): G. Robert Abrams, Ilisa J. Smukler, Ken Tapman
Hearing Site: Boca Raton, FL
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