| 10-05139 | 05/26/2011 | Claimant(s): Empire Asset Management Company
Claimant Lawyers(s): Anthony G. Mango
Respondent(s): Nicholas Dito
Respondent Lawyers(s): Nicholas C. Dito
Arbitrator(s): Irwin Kahn
Hearing Site: New York, NY
| | $0 |
| 10-05582 | 05/26/2011 | Claimant(s): United Planners' Financial Services of
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Richard Philipp
Respondent Lawyers(s): Richard J. Philipp
Arbitrator(s): Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 11-00131 | 05/26/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Larry J. Lipka
Respondent(s): Michael Moutrey
Respondent Lawyers(s): Michael Vincent Moutrey
Arbitrator(s): Nancy Hutt
Hearing Site: San Francisco, CA
| | $0 |
| 11-00224 | 05/26/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Marc Frankel
Respondent Lawyers(s): Marc J. Frankel
Arbitrator(s): Donald S. Simons
Hearing Site: Los Angeles, CA
| | $0 |
| 11-00514 | 05/26/2011 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): Robert Garff
Respondent Lawyers(s): Robert Niel Garff
Arbitrator(s): Nancy Hutt
Hearing Site: San Francisco, CA
| | $0 |
| 09-06234 | 05/26/2011 | Claimant(s): Peoples State Bank
Claimant Lawyers(s): Stephen L. Miles
Respondent(s): Michael Park, FTN Financial Securities Corp, FTN Financial Capital Markets
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): William B. Miller, Frederick H. Bruce, Lynne R. Stern
Hearing Site: New Orleans, LA
|  | $0 |
| 10-02613 | 05/26/2011 | Claimant(s): Fred Chouinard
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Kitty G. Grubb
Hearing Site: Miami, FL
| | $0 |
| 09-05049 | 05/26/2011 | Claimant(s): Fred Dinkin and Carol J. McKinnon
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Michael A. Balascio
Arbitrator(s): Mary C. Kelleher, David Ellis, Stephen Z. Frank
Hearing Site: Manchester, NH
| | $45,000 |
| 09-05377 | 05/26/2011 | Claimant(s): Charlotte Hunt, Roderick Hunt
Claimant Lawyers(s): Keil M. Mueller
Respondent(s): Anthony Lodati, Jeffrey Offen, New Castle Financial Services LLC
Respondent Lawyers(s): Brett D. Zinner, Jeffrey L. Offen
Arbitrator(s): Larry T. Coady
Hearing Site: Portland, OR
| | $0 |
| 09-06263 | 05/26/2011 | Claimant(s): Earle Ray
Claimant Lawyers(s): Joshua N. Cook
Respondent(s): Jeffrey Schrader, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Marissa Parker, Michael Kalmus
Arbitrator(s): Gerard S. Marsan, Maxwell J. Mahoney, Paul Peter Nicolai
Hearing Site: Boston, MA
| | $0 |
