| 10-05139 | 05/26/2011 | Claimant(s): Empire Asset Management Company
Claimant Lawyers(s): Anthony G. Mango
Respondent(s): Nicholas Dito
Respondent Lawyers(s): Nicholas C. Dito
Arbitrator(s): Irwin Kahn
Hearing Site: New York, NY
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| 10-05582 | 05/26/2011 | Claimant(s): United Planners' Financial Services of
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Richard Philipp
Respondent Lawyers(s): Richard J. Philipp
Arbitrator(s): Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
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| 11-00131 | 05/26/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Larry J. Lipka
Respondent(s): Michael Moutrey
Respondent Lawyers(s): Michael Vincent Moutrey
Arbitrator(s): Nancy Hutt
Hearing Site: San Francisco, CA
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| 11-00224 | 05/26/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Marc Frankel
Respondent Lawyers(s): Marc J. Frankel
Arbitrator(s): Donald S. Simons
Hearing Site: Los Angeles, CA
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| 11-00514 | 05/26/2011 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): Robert Garff
Respondent Lawyers(s): Robert Niel Garff
Arbitrator(s): Nancy Hutt
Hearing Site: San Francisco, CA
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| 09-01276 | 05/25/2011 | Claimant(s): Vito Vitone
Claimant Lawyers(s): William M. Kolb
Respondent(s): Ian Gerrior, Kevin Beaulieu, Richard Beaulieu, Signator Investors.
Respondent Lawyers(s): Michael J. Murphy, Sara E. Sweeney, Sheri L Pizzi
Arbitrator(s): B. J. Krintzman, Laura M. Nelson, Paul A. Auerbach
Hearing Site: Providence, RI
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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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| 10-01881 | 05/24/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Stephen Long
Respondent Lawyers(s): Stephen C. Long
Arbitrator(s): John A. Davis
Hearing Site: Houston, TX
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| 09-05497 | 05/23/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): David Bekenstein
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Joseph A. Kenary, Carol Ann Anderson, Mark Cammann Pyle
Hearing Site: Washington, DC
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| 09-05994 | 05/23/2011 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Willard White
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Charles T. Dix, William E. Hartsfield, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
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