| 10-00361 | 06/09/2011 | Claimant(s): Diane Croce, Pasquale Croce
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Jim Geiger, Richard F. Bieker, Eugene M. Schloss
Hearing Site: Philadelphia, PA
|  | $1,520,000 |
| 10-01953 | 06/08/2011 | Claimant(s): Joseph Heenan
Claimant Lawyers(s): Adam Green
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Joshua R. Dutill
Arbitrator(s): Gordon M. Wase, Richard N. Kelmans, Adam Bronstein
Hearing Site: Philadelphia, PA
| | $0 |
| 08-03635 | 06/07/2011 | Claimant(s): Loren Hulber
Claimant Lawyers(s): Joel D. Feldman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): E. William Pastor, Peter D. Shelp, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | $0 |
| 11-00202 | 06/01/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Nicki Samson
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | |
| 10-05005 | 05/27/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Richard Coale
Respondent Lawyers(s): Richard L. Coale
Arbitrator(s): Marilyn J. Salzman
Hearing Site: Philadelphia, PA
| | |
| 10-01020 | 05/10/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Robert Durham, William Cashman
Respondent Lawyers(s): Jacqueline Jackson-DeGarcia, Jason G. Benion
Arbitrator(s): Paul J. Greco, James T. McLaughlin, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 10-03486 | 05/06/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Robert Connell
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward F. Koren, Joseph J. Dougherty, Aaron David Fray
Hearing Site: Philadelphia, PA
| | |
| 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 |
| 09-06101 | 04/28/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): John Downs
Respondent Lawyers(s): William S. Wolfson
Arbitrator(s): E. William Pastor
Hearing Site: Philadelphia, PA
| | |
| 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 |
