| 08-05016 | 01/03/2011 | Claimant(s): Family Bypass Trust of the Gordon Family, Gordon Investment Trust, Surviving Spouse's Trust
Claimant Lawyers(s): Scott Shapiro, Steve Buchwalter
Respondent(s): Grace Stclair, PFS Investments Inc., Primerica Financial Services, The Travelers Life and Annuity Company
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Kenneth I. Rosenblum, Melvin S. Feldman, Robert Dean McKinley
Hearing Site: Los Angeles, CA
|  | $477,867 |
| 09-02638 | 01/03/2011 | Claimant(s): Dennis and Sandra Malanga, DESA Corp. Profit Sharing Plan
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Charles Induddi, Pershing LLC, Lincoln Financial Securities
Respondent Lawyers(s): Jane Meyers, Janene M. Marasciullo
Arbitrator(s): Linda T. Pellegrino, Edith M. Novack, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | $43,750 |
| 09-06153 | 01/03/2011 | Claimant(s): Lawrence Gilmore
Claimant Lawyers(s): Thomas D. Birge
Respondent(s): Scott Brandt
Respondent Lawyers(s): Scott T. Brandt
Arbitrator(s): Joseph M. Costello, Steven Meyrich, J. Robert Brown
Hearing Site: Denver, CO
| | $141,370 |
| 10-00012 | 12/31/2010 | Claimant(s): Josephine Wayman
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Securities America., Randall Talbott
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward
Arbitrator(s): Joseph C. Watson, Joel D. Davidman, W. Alex King
Hearing Site: Los Angeles, CA
| | $1,155,470 |
| 10-01151 | 12/31/2010 | Claimant(s): Aydee Ospina
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | $40,150 |
| 09-04760 | 12/31/2010 | Claimant(s): Jan Arnett
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Robert Kramer, Lloyd, Scott & Valenti, Ltd.
Respondent Lawyers(s): David E. Robbins, Luann Laney
Arbitrator(s): Bernard A. Kesselman, J. Martin McDonough, Howard Weitz
Hearing Site: New York, NY
| | $0 |
| 09-06107 | 12/31/2010 | Claimant(s): Abdallah Bseirani
Claimant Lawyers(s): Janice L. Malecki
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Patrick M. Markey, Daniel M. Mankowski, Denise L. Quarles
Hearing Site: Syracuse, NY
| | $0 |
| 10-01949 | 12/31/2010 | Claimant(s): Patricia Spencer
Claimant Lawyers(s): Patricia Spencer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $0 |
| 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 |
| 10-02887 | 12/30/2010 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Melissa Hegger Shea
Respondent(s): Michael Picarella
Respondent Lawyers(s): Michael Picarella
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $0 |
