| 10-04428 | 04/28/2011 | Claimant(s): Darlene Gordon
Claimant Lawyers(s): Darlene J. Gordon
Respondent(s): Eric Glod, Metlife Securities Inc.
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): John W. Eichleay
Hearing Site: Pittsburgh, PA
|  | $802 |
| 09-04750 | 03/28/2011 | Claimant(s): Francis Fry, Judith Fry
Claimant Lawyers(s): Anthony B Andrezeski
Respondent(s): Advest., George Dusckas, Merrill Lynch Pierce Fenner & Smith Inc., Banc Of America Securities Llc
Respondent Lawyers(s): Joseph P. Pohl
Arbitrator(s): Edward A. Grupp, William R. Gruver, Michael D. McDowell
Hearing Site: Pittsburgh, PA
| | $0 |
| 09-07076 | 02/01/2011 | Claimant(s): John Farls, Mary Farls
Claimant Lawyers(s): James J. Loll
Respondent(s): Mark Battaline
Respondent Lawyers(s): John R. O'Keefe
Arbitrator(s): John T. Meredith, Justin Henry McCarthy, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | $0 |
| 09-00759 | 01/06/2011 | Claimant(s): Rhonda Waksman
Claimant Lawyers(s): Richard W. Kelly
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Jayme L. Butcher
Arbitrator(s): Kathleen K. Murphy, Michael D. McDowell, Elena M. Colianni
Hearing Site: Pittsburgh, PA
| | $40,323 |
| 10-01366 | 12/10/2010 | Claimant(s): Ulrich Holeschovsky
Claimant Lawyers(s): Robert W. Goehring
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Thomas R. Skulina
Hearing Site: Pittsburgh, PA
| | $21,809 |
| 09-06332 | 11/11/2010 | Claimant(s): Glenn Corliss
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Jayme L. Butcher
Arbitrator(s): Paul H. McKenna, Donald J. Gilbert, Cory Owen Daschbach
Hearing Site: Pittsburgh, PA
| | $56,865 |
| 09-05759 | 10/27/2010 | Claimant(s): Mary Johns
Claimant Lawyers(s): Mary L. Johns
Respondent(s): Brian McVay, J. McVay
Respondent Lawyers(s): James W. Kraus
Arbitrator(s): AnnDrea M. Benson, James A. Laurenson, Michael R. Stabile
Hearing Site: Pittsburgh, PA
| | $0 |
| 09-00612 | 03/24/2010 | Claimant(s): Lana Byer
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Metlife Securities Inc.
Respondent Lawyers(s): David H. LaRocca
Arbitrator(s): Paul H. McKenna, Richard W. Dissen, Thomas R. Skulina
Hearing Site: Pittsburgh, PA
| | $250,000 |
| 08-02238 | 01/08/2010 | Claimant(s): Diane Resch
Claimant Lawyers(s): Arnold Y. Steinberg
Respondent(s): Oppenheimer & Co.., Philip Cimino, William Resch
Respondent Lawyers(s): Arnold Y. Steinberg, Peter Byer
Arbitrator(s): Karl F. Meyers, Marc A. Winters, James G. Kirk
Hearing Site: Pittsburgh, PA
| | Stipulated Award and Expungement |
| 09-00235 | 11/09/2009 | Claimant(s): Nickolas J. Batis and Carol Ann Batis
Claimant Lawyers(s): Arnold Y. Steinberg
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Karl F. Meyers, Kevin R. McDermott, Christopher Lepore
Hearing Site: Pittsburgh, PA
| | $3,193 |
