| 09-05324 | 09/03/2010 | Claimant(s): Javier Corujo-Ramsey
Claimant Lawyers(s): Marie Elsie Lopez Adames
Respondent(s): Lincoln Financial Securities Corp
Respondent Lawyers(s): Frank La Fontaine
Arbitrator(s): Jonathan H. Parker, Reinaldo Royo, Stuart K. Furman
Hearing Site: San Juan, PR
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| 04-04876 | 09/02/2010 | Claimant(s): Ronald Roganti
Claimant Lawyers(s): Pearl Zuchlewski
Respondent(s): Metropolitan Life Insurance Company
Respondent Lawyers(s): Steven Yarusinsky
Arbitrator(s): Catherine Ladnier, George W. Fehling, Daniel Robbins
Hearing Site: New York, NY
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| 09-03366 | 09/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Angela Roark
Respondent Lawyers(s): Angela M. Roark
Arbitrator(s): Bertrand C. Moser, Arno C. Schwethelm, Marjorie C. Johnson
Hearing Site: Houston, TX
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| 09-03923 | 09/02/2010 | Claimant(s): Charles Severs
Claimant Lawyers(s): Jonathan Harris
Respondent(s): CRT Capital Group LLC
Respondent Lawyers(s): Nancy E. Delaney
Arbitrator(s): Joseph A. Gottlieb, Anthony Michael Sabino, Martin L. Feinberg
Hearing Site: New York, NY
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| 10-01457 | 09/02/2010 | Claimant(s): Jeffrey Donner
Claimant Lawyers(s): Darin A. DiBello
Respondent(s): Sterling Financial Investment Group
Respondent Lawyers(s): Charles P. Garcia
Arbitrator(s): Edward Aptaker
Hearing Site: Boca Raton, FL
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| 09-02592 | 09/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mc Avoy
Respondent(s): Brent Bishop
Respondent Lawyers(s): Brent R. Bishop
Arbitrator(s): Carleton E. Blankenburg
Hearing Site: Oklahoma City, OK
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| 10-00469 | 09/01/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Leo Sala
Respondent Lawyers(s): Leo Sala
Arbitrator(s): Kitty G. Grubb
Hearing Site: Tampa, FL
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| 10-00714 | 09/01/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): Lee Thorpe
Respondent Lawyers(s): Lee J. Thorpe
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
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| 10-01839 | 08/30/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Halldin
Respondent Lawyers(s): Robert Halldin
Arbitrator(s): Ernest Fanwick
Hearing Site: Hartford, CT
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| 09-04748 | 08/27/2010 | Claimant(s): James Riley
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Leah A. Murray
Hearing Site: Louisville, KY
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