Reported Arbitration Cases
(This is a small portion of the cases which
Mr. Carlson has handled in arbitration. Since
approximately 1990, only the cases which go to
final decision are reported. Prior to that date,
no decisions were reported.)
Lance B. Beck v. SunTrust Robinson Humphrey, Inc. FINRA Case No. 08-02482
Beatrice Dreisen v. Citigroup Global Markets, Inc., 2009 WL 1856710 (N.A.S.D.)
Wachovia Securities, Inc. v. Lisett DiDonato, 2008 WL 2467078 (N.A.S.D.) (N.A.S.D.)
Richard Crandall v. Citigroup Global Markets, Inc., 2008 WL 1969331 (N.A.S.D.)
LaFise Valores Santo Domingo, S.A. v. Stanford Group Co., 2007 WL 4695302 (N.A.S.D.)
M Securities Invest. v. Grigsby & Associates and Calvin Grigsby, 2007 WL 3242248 (N.A.S.D.)
Fariborz Zojaji v. Merrill Lynch, 2007 WL 2239022 (N.A.S.D.)
Miguel Garcia v. Citigroup Global Markets, Inc., 2006 WL 3770807 (N.A.S.D.)
Brenda Betz v. Prudential Equity Group, Inc., 2007 WL 1814585 (N.A.S.D.)
Estate of Fink v. Sands Bros., Inc., 2006 WL 2518680 (N.A.S.D.)
Canaciet v. Prudential Equity Group, Inc., 2006 WL 2236928 (N.A.S.D.)
Shelley Cohen v. Morgan Stanley & Co., Inc., 2006 WL 1879978 (N.A.S.D.)
Newton v. Prudential Securities, 2006 WL 1388804 (N.A.S.D.)
Pratt v. Merrill Lynch, 2006 WL 474187 (N.A.S.D.)
Montalvo v. DLJ, 2006 WL 212167 (N.A.S.D.)
Stratta v. Morgan Stanley, 2005 WL 2620772 (N.A.S.D.)
Yuhas v. Roan Myers, 2005 WL 1881327 (N.A.S.D.)
Rush v. Prudential Securities, 2005 WL 1866019 (N.A.S.D.)
Lynn v. CIBC World Markets, 2005 WL 913741 (N.A.S.D.)
Johnnie Williams v. FISERV, 2004 WL 2848977 (N.A.S.D.)
Rosensweig v. Morgan Stanley DW, Inc., 2003 WL 23176949 (N.A.S.D.)
Kovack v. Merrill Lynch, 2003 WL 22359243 (N.A.S.D.)
Kovack Securities, Inc. v. Howard P. Murray, 2003 WL 21715830 (N.A.S.D.)
Sterling Financial Investment Group, Inc. v. First Union Corporation, First Union Securities, Inc., Greg Zadrozny, Scott Richter, James K. Buckman and Leonard Krenek, 2003 WL 21262058 (N.A.S.D.)
Liz Jusman and Eddy Jusman v. Prudential Securities, Inc. and Michael Newton, 2003 WL 1986963 (N.A.S.D.)
Ronald Cherry, Sentra Securities Corporation v. Kovack Securities, Inc., Ronald Kovack, Richard Fleischner, 2003 WL 1477887 (N.A.S.D.)
Sterling Financial Investment Group, Inc. v. International Capital Growth, Fred Gonzalez, and Louis Nolfo, 2002 WL 31895220 (N.A.S.D.)
Sterling Financial Investment Group, Inc. v. vFinance Investments, Inc., Michael Kraft, Mickey Dubberly, Jaret Brietstein, 2002 WL 31955159 (N.A.S.D.)
Approach, Inc. Quinn Technologies, Ltd v. Luigi Mazza Morgan Stanley Dean Witter, Inc., 2002 WL 31404796 (N.A.S.D.)
Sterling Financial Investment Group, Inc. v. Donald O'Shea, 2002 WL 32026627 (N.A.S.D.)
Michael Wright and Gruntal & Co. and Rees Gherman, 2001 WL 34076616 (N.A.S.D.)
Eximtrans v. Dean Witter Reynolds, Inc., Prudential Securities, Inc., Roberto Sanchez, 2000 WL 520720 (N.A.S.D.)
Randy D. Brehne v. Prudential Securities, Inc., 1999 WL 1257558 (N.A.S.D.)
Digestive Disease Consultants of South Florida, P.A. Pension Plan v. Pension Investors Securities Corporation, 1998 WL 1179425 (N.A.S.D.)
Gruntal & Company v. Frank J. Rosso, 1998 WL 138907 (N.Y.S.E.)
Mervin R. Buckwalter v. Sovereign Equity Management Corp., Frank Rosso, 1997 WL 632995 (N.A.S.D.)
Michael H. Weisser v. Smith Barney Inc., 1997 WL 380920 (N.A.S.D.)
Prudential Securities Inc. v. Michael Cohen, 1997 WL 1189557 (N.Y.S.E.)
Novoplus, Inc. v. Josephthal Lyon & Ross Inc., Anthony Cheverez, D. Blech & Co., Inc., 1997 WL 288668 (N.A.S.D.)
Vincent Napoleon, John Yates, Tanya Stamm v. Barnett Securities Inc., 1995 WL 661100 (N.A.S.D.)
Arthur P. Levinson v. Prudential Securities Inc, William John Mooney, 1995 WL 530366 (N.A.S.D.)
Glenfed Brokerage Services v. PaineWebber, Inc., Christopher Lee Goslin, 1995 WL 447961 (N.A.S.D.)
Barnett Securities, Inc. v. PaineWebber, Inc., Thad Kopec, Pat Hill, Patrick Cress, 1995 WL 102788 (N.A.S.D.)
Dominick & Dominick, Inc. v. Bruce A. Sammut, 1994 WL 1108259 (N.Y.S.E.)
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Thomas Hegarty and Raymond James & Co., 1993 WL 477037 (N.Y.S.E.)
Bermont Partners v. Gilford Securities Incorporated, H. Robert Holmes, Gilbrooke Associates, Inc., Lennox Securities, Inc., 1993 WL 219292 (N.A.S.D.)
Mark & Barbara Okun and Edith Braunstein v. Datek Securities Corp., Litwin Securities Inc., and Felix Smolensky, 1992 WL 1026146 (N.A.S.D.)
Merrill Lynch Pierce Fenner & Smith v. Kevin Marshburn & Prudential Securities, Kathryn Sarabasa and Kathleen Chiappone, 1991 WL 866133 (N.Y.S.E.)
Marylea Jordan v. Easter Kramer Group Securities, Inc., Integrated Resources Equity Corp., James Weber, Charles Hilbun, 1991 WL 965219 (N.A.S.D.)
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