| 09-07249 | 07/21/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John D. Miller
Respondent(s): Robert Szigeti
Respondent Lawyers(s): Robert Joseph Szigeti
Arbitrator(s): Walter M. Schackman
Hearing Site: Philadelphia, PA
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| 09-05512 | 07/13/2010 | Claimant(s): Edgar Baker, Louise Baker
Claimant Lawyers(s): John B. Dempsey
Respondent(s): LPL Financial LLC, Mark Renzini, Virginia Traver, Comm Financial Services, Community Bank & Trust
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Elizabeth A. McKinney, E. William Pastor, Paul J. Greco
Hearing Site: Philadelphia, PA
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| 09-04787 | 05/28/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Nancy Lawton
Respondent Lawyers(s): Tim Bowers
Arbitrator(s): Alan M. Schankel, Glenn Lloyd Nobel
Hearing Site: Philadelphia, PA
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| 09-01656 | 03/24/2010 | Claimant(s): Susquehanna Securities
Claimant Lawyers(s): M. Norman Goldberger
Respondent(s): Citadel Derivatives Group LLC
Respondent Lawyers(s): Andrew N. Vollmer
Arbitrator(s): Allen B. Lang, Andrew W. Davitt, Court O. Anderson
Hearing Site: Philadelphia, PA
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| 08-04609 | 03/23/2010 | Claimant(s): Jan Carr
Claimant Lawyers(s): Anthony B. Haller
Respondent(s): Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Elliot B. Platt, John L. Braxton, Howard B. Scherer
Hearing Site: Philadelphia, PA
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| 09-00095 | 11/12/2009 | Claimant(s): RBC Wealth Management
Claimant Lawyers(s): Jospeh Keenan
Respondent(s): Newell Anderson
Respondent Lawyers(s): Newell Weldon Anderson
Arbitrator(s): Edward T. Borer, Alan M. Schankel, Peter D. Shelp
Hearing Site: Philadelphia, PA
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| 08-01895 | 11/06/2009 | Claimant(s): Donato Giaquinto
Claimant Lawyers(s): Donald P. Russo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas J. Momjian
Arbitrator(s): E. William Pastor, Joseph Grant McCabe, Kenneth D. Morris
Hearing Site: Philadelphia, PA
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| 09-02313 | 10/15/2009 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): John Baker
Respondent Lawyers(s): John Robert Baker
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Philadelphia, PA
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| 08-04657 | 10/02/2009 | Claimant(s): Stanley Gregor
Claimant Lawyers(s): Joseph Sullivan
Respondent(s): Commerce Capital Markets.
Respondent Lawyers(s): Joseph G. Antinori
Arbitrator(s): Benham Fuhrman, John James McGovern, Stephen J. Scherf
Hearing Site: Philadelphia, PA
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| 08-03510 | 09/30/2009 | Claimant(s): Grover Stults
Claimant Lawyers(s): Robert M Fellheimer
Respondent(s): Edward Oudenne
Respondent Lawyers(s): Larry Lefkowitz
Arbitrator(s): E. William Pastor
Hearing Site: Philadelphia, PA
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