| 09-06565 | 05/02/2011 | Claimant(s): Nicholas Palumbo
Claimant Lawyers(s): Nicholas Palumbo
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Gordon M. Wase, James T. McLaughlin, John E. Felch
Hearing Site: Philadelphia, PA
|  | $0 |
| 10-04747 | 04/28/2011 | Claimant(s): Robert Fortinsky and Barbara Shadie
Claimant Lawyers(s): Allan M. Kluger
Respondent(s): Francis Smookler, Brookville Capital Partners LLC
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Jerry Schuchman
Hearing Site: Philadelphia, PA
| | $213 |
| 09-07145 | 04/14/2011 | Claimant(s): Michael Duddy, Nuala Duddy, Michael J. Duddy and Nuala C. Duddy
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Richard N. Kelmans, Rochelle K. Kaplan, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
| | $100,000 |
| 10-00859 | 04/07/2011 | Claimant(s): Andrew Gay
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Bestvest Investments, Ltd.
Respondent Lawyers(s): Nicholas J. Guiliano
Arbitrator(s): Paul Ribner, Donald S. Bauman, John Herbert Grefe
Hearing Site: Philadelphia, PA
| | $0 |
| 09-07170 | 03/10/2011 | Claimant(s): David McIntosh, Terri McIntosh
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Jerry Schuchman, E. William Pastor, Glenn J. Hansen
Hearing Site: Philadelphia, PA
| | $0 |
| 08-04394 | 02/28/2011 | Claimant(s): Marvin Levin and Stefani Levin
Claimant Lawyers(s): Deborah R. Gross
Respondent(s): David Kay, Ralph Wileczek
Respondent Lawyers(s): Paula D. Shaffner, Ralph Wileczek
Arbitrator(s): Edward Blumstein, Robert W. Ratti, Kathleen L. Daerr-Bannon
Hearing Site: Philadelphia, PA
| | $0 |
| 10-03116 | 01/13/2011 | Claimant(s): Barbara F Raitzky
Claimant Lawyers(s): Barbara F. Raitzky
Respondent(s): Securities America., Richard Hoffman
Respondent Lawyers(s): Kelly R. Davis, Richard Horace Hoffman
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $163 |
| 10-03031 | 12/31/2010 | Claimant(s): Robert Seiwell
Claimant Lawyers(s): Robert L Seiwell
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Joseph R. Lally
Hearing Site: Philadelphia, PA
| | $0 |
| 09-00465 | 12/30/2010 | Claimant(s): Peter Bruni and Michele Bruni
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Stifel, Nicolaus & Co.., Ryan Beck & Co., Michael Bader
Respondent Lawyers(s): Irving Bizar, Marc Durant
Arbitrator(s): Guillermo L. Bosch, Joseph F. Pittelli, Ethan L. Lewis
Hearing Site: Philadelphia, PA
| | $52,183 |
| 10-02507 | 12/29/2010 | Claimant(s): Ronald Avenia
Claimant Lawyers(s): Ronald J. Avenia
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): Sheldon Seligsohn
Hearing Site: Philadelphia, PA
| | $2,925 |
