| 10-04580 | 10/21/2011 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Douglas Black
Respondent Lawyers(s): Douglas Black
Arbitrator(s): Nicholas John Taldone
Hearing Site: Boca Raton, FL
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| 11-00051 | 10/14/2011 | Claimant(s): Vfinance Investments
Claimant Lawyers(s): Billy Groeneveld
Respondent(s): Automated Trading Desk Financial Service
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): John M. Eadie, Morton D. Siegel, Lee Alan Rosenblum
Hearing Site: Boca Raton, FL
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| 08-01683 | 09/30/2011 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): John Perry, Ronald Perry
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Thomas Czinner, Daniel P. Lund, Andrew David Kahng
Hearing Site: Boca Raton, FL
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| 10-04579 | 09/30/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Daniel Derechin
Respondent(s): Anthony Fisher
Respondent Lawyers(s): Anthony Fisher
Arbitrator(s): Gary W. Pollack
Hearing Site: Boca Raton, FL
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| 09-05639 | 09/28/2011 | Claimant(s): Ernst Mahler
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Monroe Mitchel, Ralph H. Emer, Stuart Harvey Ziegler
Hearing Site: Boca Raton, FL
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| 10-04741 | 08/30/2011 | Claimant(s): Charlemagne Louis-Charles
Claimant Lawyers(s): Charlemagne Louis Louis-Charles
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): David H. Brodie
Arbitrator(s): Gregory S. Tendrich, Lisa Marie Macci, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
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| 10-04487 | 08/17/2011 | Claimant(s): John Sullivan
Claimant Lawyers(s): John F. Sullivan
Respondent(s): Andrew Kistler, Anthony Juliano, Christopher Zelesnick, Ameriprise Advisor Services., Douglas Aldridge, Frank Teodosio, Ameriprise Financial Services., Joan Cohen, Kathleen Dedenbach, Michael Barrella
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Alfred P. Reeves, Steven Ira Weinberger, Ellen J. Abrams
Hearing Site: Boca Raton, FL
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| 10-05118 | 07/14/2011 | Claimant(s): Dawson James Securities.
Claimant Lawyers(s): Albert Poliak
Respondent(s): Steven Sadicario
Respondent Lawyers(s): Steven Lawrence Sadicario
Arbitrator(s): Lawrence Goldberg
Hearing Site: Boca Raton, FL
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| 09-04721 | 05/27/2011 | Claimant(s): Guy Abbanat
Claimant Lawyers(s): James R. Hubbard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): G. Robert Abrams, Lawrence M. Green, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
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| 10-03475 | 05/25/2011 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B Clarke
Respondent(s): Donn Sanders
Respondent Lawyers(s): Brett A. Elam
Arbitrator(s): Myron S. Dunay
Hearing Site: Boca Raton, FL
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