| 10-05353 | 04/28/2011 | Claimant(s): Donald Toussaint
Claimant Lawyers(s): Donald R. Toussaint
Respondent(s): BNY Mellon Securities LLC
Respondent Lawyers(s): Alexander H. Shapiro
Arbitrator(s): Martin Mandel
Hearing Site: Los Angeles, CA
|  | $2,431 |
| 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 |
| 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 |
| 09-05914 | 04/27/2011 | Claimant(s): James M Biggins, James M Biggins and Eygeniya Kalashnikov
Claimant Lawyers(s): James M Biggins
Respondent(s): Phillip Conley
Respondent Lawyers(s): Timothy C. Bass
Arbitrator(s): Jerome Nelson
Hearing Site: Washington, DC
| | $23,738 |
| 10-00594 | 04/27/2011 | Claimant(s): James C. Edington IRA, James C. Edington Trust
Claimant Lawyers(s): Brian G. Mooney
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher Gawley
Arbitrator(s): Paul Sidney Elliott, JD, Thomas Roe Oldt, Lauren S. Puritz
Hearing Site: Orlando, FL
| | Expungement |
| 10-01192 | 04/27/2011 | Claimant(s): The Wright Family Living Trust
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): John Marshall, Rollance Verkennis, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Joseph C. Campo
Arbitrator(s): Alan Stamm, Thomas W. Gregory, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | $1,761,100 |
| 09-02641 | 04/27/2011 | Claimant(s): M. Michele Sawyer
Claimant Lawyers(s): Jeffrey P. Lendrum
Respondent(s): Carlos Legaspy, Horwitz & Associates.
Respondent Lawyers(s): Dennis J. Kelly
Arbitrator(s): Guenter S. Cohn, Cynthia B. Stone, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 10-01473 | 04/27/2011 | Claimant(s): Adeyinka Adedeji
Claimant Lawyers(s): Adeyinka Adedeji
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Aimee E. Bierman
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
| | $0 |
| 10-04923 | 04/27/2011 | Claimant(s): Lucian Leonte & Marie Leonte
Claimant Lawyers(s): Lucian Leonte
Respondent(s): Firstrade Securities Inc.
Respondent Lawyers(s): Peter E. Gschweng
Arbitrator(s): Jeffrey G. Sommers
Hearing Site: Hartford, CT
| | $38 |
| 10-01085 | 04/26/2011 | Claimant(s): John Mason
Claimant Lawyers(s): John A. Mason
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John E. Ohashi, Harold K. Hunt, Mark A. Levy
Hearing Site: Los Angeles, CA
| | $13,000 |
