| 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 |
| 10-04724 | 12/13/2012 | Claimant(s): Michael Levy and Paula Levy
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis
Arbitrator(s): Patrick Sean Dolan, Timothy J. Moore, Gerald B. Marcovsky
Hearing Site: Baltimore, MD
| | Expungement |
| 10-01802 | 12/10/2012 | Claimant(s): Colleen Reardon, Edward Reardon, Edward Reardon TTEE of the Edward
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Mark L Miller, Marilee Roberg, Ronald A. Sirt
Hearing Site: Chicago, IL
| | Expungement |
| 10-00724 | 10/19/2012 | Claimant(s): Lee Linden
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): August "Jamie" H. Schupp
Arbitrator(s): Martin M. Van Luven, Sylvia D. Stiller, Kenneth Steven Halpern
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-06473 | 10/03/2012 | Claimant(s): The Segue Foundation., James Sherry IRA Account, Shirley Sherry Revocable Trust DTD 09/22
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Susan C. Lushing, Christian Leslie Billet, Susan Y. Chin
Hearing Site: New York, NY
| | Expungement |
| 10-02756 | 04/23/2012 | Claimant(s): SIG Real Estate Holdings.
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): William F. Glaser, Nicholas G. Dukas, Oliver J. Janney
Hearing Site: Tampa, FL
| | Expungement |
| 09-07068 | 10/18/2011 | Claimant(s): Dan Carlyle
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Robert L. Chisolm, Robert J. Gregory, Paul L. Salzberger
Hearing Site: Dallas, TX
| | Expungement |
| 10-01999 | 09/22/2011 | Claimant(s): Mary Pitman
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): United Equity Securities
Respondent Lawyers(s): William B. Park
Arbitrator(s): George Felos, Frank Brenner, Jason D. White
Hearing Site: Tampa, FL
| | $248,800 |
| 10-00722 | 08/02/2011 | Claimant(s): Antonio Calderon
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Michael Dean, Joyce L. Hurley, Nancy Jo Schwantes
Hearing Site: Las Vegas, NV
| | Expungement |
| 09-04025 | 07/07/2011 | Claimant(s): Marilyn Berger and Barry Berger
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Herbert Branitsky, Laura Jeanette Cognetti, James M. Chase
Hearing Site: Boca Raton, FL
| | Expungement |
