| 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 |
| 09-05216 | 09/13/2010 | Claimant(s): Gary Miles
Claimant Lawyers(s): Wayne G. Johnson
Respondent(s): Gregory Randall, Jac Tomasello, Southwest Securities., U.S. Brokerage.
Respondent Lawyers(s): Gregory A. Randall, Jac G. Tomasello, Jonathan D. Neerman
Arbitrator(s): Thomas H. Barnard, Elena M. Colianni, William L. White
Hearing Site: Pittsburgh, PA
| | |
| 08-04247 | 09/07/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s): Bryan Ziencik
Respondent Lawyers(s): Gretchen E. Moore
Arbitrator(s): Rita E. Tholt, Neil H. Alexander, Justin Henry McCarthy
Hearing Site: Pittsburgh, PA
| | |
| 10-00284 | 08/19/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Joseph Morgan
Respondent Lawyers(s): Joseph Michael Morgan
Arbitrator(s): Kevin R. Zehe
Hearing Site: Pittsburgh, PA
| | |
| 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 |
| 08-04169 | 02/08/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kevin Walker
Respondent(s): Kenneth Ross, Lloyd Laughlin, Timothy Miller
Respondent Lawyers(s): Brian J. Sommer, Kevin Walker
Arbitrator(s): Kathleen A. Hanula, Harvey Michael Rosenberg, John P. Abriola
Hearing Site: Pittsburgh, PA
| | |
| 09-04794 | 02/02/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Joseph Dorrycott
Respondent Lawyers(s): Joseph M. Dorrycott
Arbitrator(s): Bert S Cliff
Hearing Site: Pittsburgh, PA
| | |
| 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 |
| 09-03954 | 12/15/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Thomas Pie
Respondent Lawyers(s): Thomas More Pie
Arbitrator(s): Jerry G. Kos
Hearing Site: Pittsburgh, PA
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