| 10-00859 | 04/07/2011 | Claimant(s): Andrew Gay
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Bestvest Investments, Ltd.
Respondent Lawyers(s): Nicholas J. Guiliano
Arbitrator(s): Paul Ribner, Donald S. Bauman, John Herbert Grefe
Hearing Site: Philadelphia, PA
|  | $0 |
| 09-06522 | 04/06/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Michael J. Albert
Respondent(s): Mark Monin
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Ralph H. Erickson
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01365 | 04/06/2011 | Claimant(s): Melba Fredericks
Claimant Lawyers(s): Francis X. Duda,
Respondent(s): Bradford Sharpe, Uvest Financial Services Group., The Bank of Edwardsville
Respondent Lawyers(s): John A. Bruegger, Matthew V. Bartle
Arbitrator(s): Alan A. Sachs, Richard Lawrence Gowan, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | $0 |
| 09-05006 | 04/06/2011 | Claimant(s): John Dailey
Claimant Lawyers(s): Irwin G. Stein
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Herbert L. Brown, Jonathan H. Krotinger, Fern M. Laethem
Hearing Site: San Francisco, CA
| | $0 |
| 10-01590 | 04/06/2011 | Claimant(s): Mary Jo Broomfield
Claimant Lawyers(s): Robert A. Graham
Respondent(s): Suanne Jones, American Independent Securities Group
Respondent Lawyers(s): Jeffrey S. Salisbury
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 09-04269 | 04/05/2011 | Claimant(s): Charlotte Leitner IRA, Lionel Leitner Revocable Trust, Lionel/Charlotte Leitner Family Trust, The Charlotte Lleitner Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paul M. Tyrrell
Arbitrator(s): Richard J. Kaplan, Michael J. Fingar, John H. Claudy
Hearing Site: Boca Raton, FL
| | $0 |
| 09-07046 | 04/05/2011 | Claimant(s): William Copperill
Claimant Lawyers(s): Robert J. Boller
Respondent(s): Mitchell Sloane, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Mitchell H. Sloane
Arbitrator(s): Carolyn A. Mann, Michael J. Deodati, Daniel J. Brooks
Hearing Site: New York, NY
| | $489,710 |
| 09-02965 | 04/05/2011 | Claimant(s): Florence E. Jordan Trust
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Gregory Alford, Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Lita S Menkin
Hearing Site: Birmingham, AL
| | $0 |
| 09-04962 | 04/04/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Paul Erenfeld
Respondent Lawyers(s): David Sacks
Arbitrator(s): Jeanne C. Stilwell, Joseph W. Cheek, Dean K. Morell
Hearing Site: Portland, OR
| | $0 |
| 10-03967 | 04/04/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gregory Januleski
Respondent Lawyers(s): Gregory John Januleski
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Cincinnati, OH
| | $0 |
