| 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 |
| 09-02395 | 10/22/2009 | Claimant(s): Audrey Wolfe
Claimant Lawyers(s): Audrey Wolfe
Respondent(s): Joseph Headlee, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Elmer G. Cowan
Hearing Site: Pittsburgh, PA
| | $0 |
| 08-04794 | 06/26/2009 | Claimant(s): Lincoln Investment Planning.
Claimant Lawyers(s): Joshua S. Ganz
Respondent(s): Joseph Rentler
Respondent Lawyers(s): Joseph John Rentler
Arbitrator(s): Dale A. Pope
Hearing Site: Pittsburgh, PA
| | |
| 08-00670 | 06/03/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kevin B. Walker
Respondent(s): Peter Thompson
Respondent Lawyers(s): Brian J. Sommer
Arbitrator(s): Karin A. Schlosser, Michael S. Berman, Ronald J. Ricci
Hearing Site: Pittsburgh, PA
| | |
| 08-01522 | 01/30/2009 | Claimant(s): NatCity Investments.
Claimant Lawyers(s): Stanley Yorsz
Respondent(s): Mark Kovacs, BPU Investment Management.
Respondent Lawyers(s): Brent A. Burns
Arbitrator(s): David J. Capriotti, Cory Owen Daschbach, Barry J. Lipson
Hearing Site: Pittsburgh, PA
| | |
| 07-02941 | 12/05/2008 | Claimant(s): Basil Marryshow, Basil A. Marryshow, IRA, Profit Sharing Plan
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): John H. Ewing, Michael R. Stabile, Walter J. Blenko
Hearing Site: Pittsburgh, PA
| | $0 |
| 07-02149 | 11/12/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Carl Anderson
Respondent Lawyers(s): Carl J. Anderson
Arbitrator(s): Henry Ott-Hansen, Michael D. Neft, Robert G. Conway
Hearing Site: Pittsburgh, PA
| | |
| 08-00408 | 11/06/2008 | Claimant(s): Ruth Farr
Claimant Lawyers(s): William L. White
Respondent(s): Wachovia Securities, Prudential Equity Group, UBS Services USA LLC
Respondent Lawyers(s): Dan A. Rosenbaum, Demian J. Betz, Kenneth Fuchs
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | $213 |
| 06-02818 | 09/15/2008 | Claimant(s): Donald Dailey
Claimant Lawyers(s): Arnold Y. Steinberg
Respondent(s): Legg Mason Wood Walker, John Russell
Respondent Lawyers(s): Jason W. Gaarder
Arbitrator(s): Jay H. Feldstein, N. John Marinack, Ronald J. Ricci
Hearing Site: Pittsburgh, PA
| | $0 |
| 07-01611 | 09/15/2008 | Claimant(s): Darlene Ludolff
Claimant Lawyers(s): Adrian N. Roe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Samuel Spanos
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): John H. Ewing, Donald J. Gilbert, Alfred E. Lawson
Hearing Site: Pittsburgh, PA
| | $0 |
