| 07-02216 | 07/03/2008 | Claimant(s): Howe Barnes Hoefer & Arnett.
Claimant Lawyers(s): David T.B. Audley
Respondent(s): Ronald Smith
Respondent Lawyers(s): Paul J. Sussman
Arbitrator(s): Ronald A. Lavery
Hearing Site: Chicago, IL
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| 07-01940 | 06/19/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Freedman
Respondent Lawyers(s): Kenneth D. Freedman
Arbitrator(s): Frank F. Foys, Robert W. Edler, Richard A. Van Kalker
Hearing Site: Chicago, IL
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| 05-00505 | 05/16/2008 | Claimant(s): Thomas Powers
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): New England Securities, Metropolitan Life Ins. Company, New England Life Insurance Company
Respondent Lawyers(s): John A. Berg & Martin Harris
Arbitrator(s): James D. Adducci, Michael Steinberg, Richard R. Bicek
Hearing Site: Chicago, IL
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| 06-01261 | 04/07/2008 | Claimant(s): Advanced Equities.
Claimant Lawyers(s): Andrew M. Zack
Respondent(s): Denise Kappel
Respondent Lawyers(s): Nicholas P. Iavarone
Arbitrator(s): Thomas F. Mahoney, Ann Breen-Greco, Champ W. Davis
Hearing Site: Chicago, IL
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| 06-01341 | 04/07/2008 | Claimant(s): Mark Frommer
Claimant Lawyers(s): William J. Serritella
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Steven B. Varick
Arbitrator(s): John K. Notz, Ronald A. Lavery, Joseph FitzSimmons
Hearing Site: Chicago, IL
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| 07-02340 | 04/04/2008 | Claimant(s): Michael Teall
Claimant Lawyers(s): Robert W. Mysliwiec
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Joseph M. Callow
Arbitrator(s): Marc B. Horin, Robert L. Agusto, Gordon B. Shneider
Hearing Site: Chicago, IL
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| 07-01620 | 03/24/2008 | Claimant(s): Almax Investments LLC
Claimant Lawyers(s): Stephen P. Bedell
Respondent(s): Michael Moore, Sarah Moore, EROOM Securities LLC
Respondent Lawyers(s): Jennifer Zordani
Arbitrator(s): G. Gale Roberson, Mark E. Larson, James Michael Bailey
Hearing Site: Chicago, IL
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| 07-00017 | 02/22/2008 | Claimant(s): John Terzis
Claimant Lawyers(s): John J. Lynch
Respondent(s): Joseph Johnson
Respondent Lawyers(s): John S. Burke
Arbitrator(s): Ronald A. Lavery, Phillips M. Montross, Elsa Mannarelli Miller
Hearing Site: Chicago, IL
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| 07-02532 | 02/22/2008 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Giovanni Difiore
Respondent Lawyers(s): Gary J. Fernandez
Arbitrator(s): Mark E. Larson
Hearing Site: Chicago, IL
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| 06-04383 | 02/12/2008 | Claimant(s): John Smith
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): John F. Fullerton
Arbitrator(s): Thomas E. Haviland, Ronald A. Sirt, Jerome Arthur Connolly
Hearing Site: Chicago, IL
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