| 09-04007 | 01/03/2011 | Claimant(s): Curtis Hill
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David Commins
Arbitrator(s): Jon A. Bostrom, Jeffrey L. Malek, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 09-06132 | 01/03/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Miller
Respondent Lawyers(s): Robert Douglas Miller
Arbitrator(s): David A. Youngerman
Hearing Site: St. Louis, MO
| | |
| 10-03894 | 01/03/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Gilbert Pugliano
Respondent Lawyers(s): Gilbert Birdinground Pugliano
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
| | |
| 08-05016 | 01/03/2011 | Claimant(s): Family Bypass Trust of the Gordon Family, Gordon Investment Trust, Surviving Spouse's Trust
Claimant Lawyers(s): Scott Shapiro, Steve Buchwalter
Respondent(s): Grace Stclair, PFS Investments Inc., Primerica Financial Services, The Travelers Life and Annuity Company
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Kenneth I. Rosenblum, Melvin S. Feldman, Robert Dean McKinley
Hearing Site: Los Angeles, CA
|  | $477,867 |
| 09-02638 | 01/03/2011 | Claimant(s): Dennis and Sandra Malanga, DESA Corp. Profit Sharing Plan
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Charles Induddi, Pershing LLC, Lincoln Financial Securities
Respondent Lawyers(s): Jane Meyers, Janene M. Marasciullo
Arbitrator(s): Linda T. Pellegrino, Edith M. Novack, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | $43,750 |
| 09-06153 | 01/03/2011 | Claimant(s): Lawrence Gilmore
Claimant Lawyers(s): Thomas D. Birge
Respondent(s): Scott Brandt
Respondent Lawyers(s): Scott T. Brandt
Arbitrator(s): Joseph M. Costello, Steven Meyrich, J. Robert Brown
Hearing Site: Denver, CO
| | $141,370 |
| 09-03007 | 12/31/2010 | Claimant(s): Mitchell Schley
Claimant Lawyers(s): Mitchell Schley
Respondent(s): Barbara Bishop, Bear Stearns & Co..
Respondent Lawyers(s): Lawrence R. Sandak
Arbitrator(s): Ernest Fanwick, Robert Pincus, Saul Scheier
Hearing Site: New York, NY
| | |
| 09-06001 | 12/31/2010 | Claimant(s): Hans-Dieter Neuen
Claimant Lawyers(s): Ira M. Potter
Respondent(s): Equity Concepts., Smith, Moore & Co.
Respondent Lawyers(s): Daniel E. Diemer, M. Jane Matoesian
Arbitrator(s): Keith E. Mattern, Joseph P. Keaveny, James M. Stern
Hearing Site: St. Louis, MO
| | |
| 10-02930 | 12/31/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Deward Lawrence
Respondent Lawyers(s): Deward T. Lawrence
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | |
| 10-03448 | 12/31/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Orin Port
Respondent Lawyers(s): Orin Port
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Boca Raton, FL
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