| 11-01674 | 07/30/2012 | Claimant(s): Sidney Steinberg
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Harold S. Stern, Steven E. Eisenberg, Mark J. McCarthy
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-01060 | 07/27/2012 | Claimant(s): Renee Alster
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Monica I. Salis, Edward R. Niederriter, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-01262 | 07/17/2012 | Claimant(s): Gregg Smyth
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): VP Distributors Inc.
Respondent Lawyers(s): Thomas Mead Santoro
Arbitrator(s): Ellen J. Abrams, Lee Milich, Andrew David Kahng
Hearing Site: Boca Raton, FL
| | |
| 09-07227 | 07/16/2012 | Claimant(s): Carlos Oubina, Fernando Granda, Graciela de Martinez, Hector Lestard, Jorge Besser, Jose Ganem, Juan Navarro Floria, Miguel Martinez, Norma Arauz de Pereiro, Patricia de Castro, Gladbrook Investments Ltd., Sandhill Overseas Ltd., Westbrook Business Corp., S.A.
Claimant Lawyers(s): Jeffrey L. Cox
Respondent(s): EFG Capital International Corp.
Respondent Lawyers(s): Ivan P. Harris
Arbitrator(s): Monroe Mitchel, Suzanne E. Mowry, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 11-01043 | 07/16/2012 | Claimant(s): Estate of Jack A. Gambino
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Triad Advisors.
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Guy K. Stewart, Roy B. Gonas, Gary R Librizzi
Hearing Site: Boca Raton, FL
| | $260,147 |
| 10-00840 | 07/06/2012 | Claimant(s): Gustavo Kogan, Jorge Braver, Ralif Limited, Triac Enterprises Limited
Claimant Lawyers(s): Jeffrey L. Cox
Respondent(s): EFG Capital International Corp.
Respondent Lawyers(s): Ivan P. Harris
Arbitrator(s): George W. Rodormer, Gloria O. North, Soraya Maria Figueiredo
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 10-05543 | 07/02/2012 | Claimant(s): DeJohn Family LLLP
Claimant Lawyers(s): Garry W. O'Donnell
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Gloria O. North, Marc T. Danon, Richard Adam Sachs
Hearing Site: Boca Raton, FL
| | $0 |
| 11-03446 | 06/28/2012 | Claimant(s): Joshua Zillmer
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): PNC Investments
Respondent Lawyers(s): Deborah I. Ecker
Arbitrator(s): Monica I. Salis, Bruce N. Sankin, Peter A. Cartwright
Hearing Site: Boca Raton, FL
| | |
| 11-02854 | 06/28/2012 | Claimant(s): Barry Irwin
Claimant Lawyers(s): Wayne S. Koppel
Respondent(s): Wells Fargo Advisors, Richard Fulton
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
| | $0 |
| 10-05719 | 06/27/2012 | Claimant(s): Paul Cohnen A/R Family Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Douglas McPherson, J.P. Morgan Securities, Michael Kilkeary
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Frances D. Sheehy, Harvey Alan Blicksilver, Harold S. Stern
Hearing Site: Boca Raton, FL
| | $0 |
