| 09-03954 | 12/15/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Thomas Pie
Respondent Lawyers(s): Thomas More Pie
Arbitrator(s): Jerry G. Kos
Hearing Site: Pittsburgh, PA
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| 08-04794 | 06/26/2009 | Claimant(s): Lincoln Investment Planning.
Claimant Lawyers(s): Joshua S. Ganz
Respondent(s): Joseph Rentler
Respondent Lawyers(s): Joseph John Rentler
Arbitrator(s): Dale A. Pope
Hearing Site: Pittsburgh, PA
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| 08-00670 | 06/03/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kevin B. Walker
Respondent(s): Peter Thompson
Respondent Lawyers(s): Brian J. Sommer
Arbitrator(s): Karin A. Schlosser, Michael S. Berman, Ronald J. Ricci
Hearing Site: Pittsburgh, PA
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| 08-01522 | 01/30/2009 | Claimant(s): NatCity Investments.
Claimant Lawyers(s): Stanley Yorsz
Respondent(s): Mark Kovacs, BPU Investment Management.
Respondent Lawyers(s): Brent A. Burns
Arbitrator(s): David J. Capriotti, Cory Owen Daschbach, Barry J. Lipson
Hearing Site: Pittsburgh, PA
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| 07-02149 | 11/12/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Carl Anderson
Respondent Lawyers(s): Carl J. Anderson
Arbitrator(s): Henry Ott-Hansen, Michael D. Neft, Robert G. Conway
Hearing Site: Pittsburgh, PA
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| 07-02588 | 07/11/2008 | Claimant(s): Katie Guzzo
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Paul H. McKenna, Jared D. Simmer, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
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| 06-05022 | 12/19/2007 | Claimant(s): Advest.
Claimant Lawyers(s): Mark P. Harbison
Respondent(s): Edward Wetzel, Jeffrey Kelley
Respondent Lawyers(s): Joseph William Conway
Arbitrator(s): Carl Hohnbaum, David J. Capriotti, Ralph H. Phillips
Hearing Site: Pittsburgh, PA
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| 06-05029 | 12/19/2007 | Claimant(s): Advest.
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jeffrey Kelley
Respondent Lawyers(s): Joseph William Conway
Arbitrator(s):
Hearing Site: Pittsburgh, PA
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| 05-05083 | 07/16/2007 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Battaline
Respondent Lawyers(s): John R. O'Keefe
Arbitrator(s): Bert S Cliff, Donald A. Olszewski, Elena M. Colianni
Hearing Site: Pittsburgh, PA
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