| 10-02363 | 06/14/2011 | Claimant(s): Christine O'Leary, Edward Harmon, Orrin Lebrew
Claimant Lawyers(s): Vicki Kuftic Horne
Respondent(s): BNY Mellon Capital Markets
Respondent Lawyers(s): Catherine S. Ryan
Arbitrator(s): Roger W. Van Deusen, Timothy Shay Davis, Charles B. Jarrett
Hearing Site: Pittsburgh, PA
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| 10-00380 | 04/07/2011 | Claimant(s): Christopher Hutchinson
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Paul H. McKenna, Kathleen K. Murphy, James J. Puhala
Hearing Site: Pittsburgh, PA
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| 09-07135 | 02/22/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Richard Costa
Respondent Lawyers(s): Michael J. McShea
Arbitrator(s): W. Sean Kelleher, Elena M. Colianni, George H. Perich
Hearing Site: Pittsburgh, PA
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| 04-04184 | 01/06/2011 | Claimant(s): Cheryl Schwarzwaelder
Claimant Lawyers(s): Joseph H. Chivers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Bert S Cliff, James J. Puhala, Rebecca A. Bowman
Hearing Site: Pittsburgh, PA
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| 09-05727 | 11/12/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): Richard Dorman
Respondent Lawyers(s): Richard Dorman
Arbitrator(s): Karin A. Schlosser
Hearing Site: Pittsburgh, PA
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| 09-05216 | 09/13/2010 | Claimant(s): Gary Miles
Claimant Lawyers(s): Wayne G. Johnson
Respondent(s): Gregory Randall, Jac Tomasello, Southwest Securities., U.S. Brokerage.
Respondent Lawyers(s): Gregory A. Randall, Jac G. Tomasello, Jonathan D. Neerman
Arbitrator(s): Thomas H. Barnard, Elena M. Colianni, William L. White
Hearing Site: Pittsburgh, PA
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| 08-04247 | 09/07/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s): Bryan Ziencik
Respondent Lawyers(s): Gretchen E. Moore
Arbitrator(s): Rita E. Tholt, Neil H. Alexander, Justin Henry McCarthy
Hearing Site: Pittsburgh, PA
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| 10-00284 | 08/19/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Joseph Morgan
Respondent Lawyers(s): Joseph Michael Morgan
Arbitrator(s): Kevin R. Zehe
Hearing Site: Pittsburgh, PA
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| 08-04169 | 02/08/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kevin Walker
Respondent(s): Kenneth Ross, Lloyd Laughlin, Timothy Miller
Respondent Lawyers(s): Brian J. Sommer, Kevin Walker
Arbitrator(s): Kathleen A. Hanula, Harvey Michael Rosenberg, John P. Abriola
Hearing Site: Pittsburgh, PA
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| 09-04794 | 02/02/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Joseph Dorrycott
Respondent Lawyers(s): Joseph M. Dorrycott
Arbitrator(s): Bert S Cliff
Hearing Site: Pittsburgh, PA
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