| 09-05711 | 09/08/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen Gaster
Respondent(s): James Milnes
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): David S. Paul, Gregory Hunter Mathews, Robert Alan Mayer
Hearing Site: Philadelphia, PA
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| 10-04032 | 09/08/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): Vincent Ross
Respondent Lawyers(s): Vincent Ross
Arbitrator(s): David Paul Clark
Hearing Site: Pittsburgh, PA
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| 11-00382 | 09/08/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Hilary Campbell
Respondent Lawyers(s): Hilary Campbell
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
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| 10-01428 | 09/07/2011 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Andrea Perry Block
Respondent(s): Edelmiro Hernandez, Jack Petersen, Tom Kalaris
Respondent Lawyers(s): Andrea Perry Block, Douglas A. Kahle
Arbitrator(s): Robert A. Fabricant, Cindy L. Anderson, Barry David Thorpe
Hearing Site: Miami, FL
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| 10-01872 | 09/07/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Felipe Britto
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Gary M. Landau
Hearing Site: Miami, FL
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| 10-04841 | 09/07/2011 | Claimant(s): Securities America.
Claimant Lawyers(s): Natalie M. Blanke
Respondent(s): Arra Poghossian
Respondent Lawyers(s): Arra Poghossian
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
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| 11-00644 | 09/07/2011 | Claimant(s): Rocco Guidicipietro
Claimant Lawyers(s): Michael S Colombo
Respondent(s): Joseph Degregorio
Respondent Lawyers(s): Benjamin Suess
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 09-06492 | 09/06/2011 | Claimant(s): Amir Monsefi
Claimant Lawyers(s): Faryan Andrew Afifi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Barton J. Brewer, Debra Brothers Self, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 10-02284 | 09/06/2011 | Claimant(s): Mitchell Asch
Claimant Lawyers(s): Mitchell Lawrence Asch
Respondent(s): Raymond, James & Associates., Peter Delahunt
Respondent Lawyers(s): Ann M. Hensler
Arbitrator(s): Harvey Barrison, James S. Hazard, Susan Mills Richmond
Hearing Site: New York, NY
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| 08-01879 | 09/02/2011 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Hernando Cortes, James Matthew, Jason Sharfstein, John Kelly, Kevin O'Halloran, Robert Gaeta, Steven Rabinovici, Todd Zuckerbrod, Stockcross Financial Services., The Estate of Gerard Mastrianni
Respondent Lawyers(s): George Brunelle, J. Christopher Albanese, Martin H. Kaplan, Michael P. Gilmore, Todd A. Zuckerbrod
Arbitrator(s): Marc T. Danon, Stuart S. Billington, Jack A. Helms
Hearing Site: Orlando, FL
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