| 11-04778 | 12/28/2012 | Claimant(s): Parry Sadoff Inc., Joan T. Kelly TR UAD 3//2/98 by Joan & J, Parry Sadoff Insurance Agency Proft Shar, Parry Sadoff Revocable Living Trust DTD
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Steven E. Eisenberg, Michael D Felton, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
|  | $40,000 |
| 11-02933 | 12/27/2012 | Claimant(s): Andrew Kontos and Kathy Kontos
Claimant Lawyers(s): Andrew Kontos
Respondent(s): David Noble, Lynn Kidd, Citicorp Investment Services
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Elena G. Rodriguez, Daniel Joseph Chiodo, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | $0 |
| 12-00572 | 12/26/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Diane Hunt
Respondent Lawyers(s): Diane M. Hunt
Arbitrator(s): Steven N. Ainbinder, George G. Kurschner, S. William Gersten
Hearing Site: Boca Raton, FL
| | $0 |
| 11-03507 | 12/21/2012 | Claimant(s): Joan R. Stiles Trust u/a dtd 2/28/1991, William H. Stiles Trust u/a dtd 2/28/91
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Richard S. Zaifert, Bruce K. Isenberg, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02176 | 12/20/2012 | Claimant(s): Robert Barash
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Willard Pugh, Dawson James Asset Management., Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Paul Joseph McIntyre, Peter A. Portley, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00421 | 12/18/2012 | Claimant(s): Baerbel O'Haire, Joseph Fessler
Claimant Lawyers(s): Robert C. Harris
Respondent(s): James Gray, Kaye Gray
Respondent Lawyers(s): James Brian Gray, Kaye M. Gray
Arbitrator(s): Frances D. Sheehy, Kathy N. Novick, Sherry Puro
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01144 | 12/17/2012 | Claimant(s): Joseph Feld
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03167 | 12/14/2012 | Claimant(s): Jay Debow, Suzanne Debow, MLPF&S Cust FBO Jay Debow IRA, MLPF&S Cust FBO Suzanne Hayat Debow IRA, MLPF&S Cust FBO J. Debow Consulting P.S
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Mark Imbertson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Colleen M. Fitzgerald, Donald F. Winningham
Arbitrator(s): Frances D. Sheehy, Mark T. Burnam, Stephen Kahane
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04974 | 12/13/2012 | Claimant(s): Jacques Bernard
Claimant Lawyers(s): David Neuman
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Kenneth F. Berg
Arbitrator(s): Linda M. Granata, Richard E. Blackman, Joseph Michael Librie
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00443 | 12/12/2012 | Claimant(s): Hugo R. Scala Jr. Rollover IRA, Scala Family Limited Partnership, Hugo R Scala Gift Trust DTD 12/23/1966, Hugo R. Scala Jr. Trust DTD 7/28/03
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Charles Hoffman, David E. Mowry, Alexander Myers
Hearing Site: Boca Raton, FL
| | Expungement |
