| 07-01194 | 11/06/2008 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): David Fowler, Donna Furgal, Eric Wasson, NEXT Financial Group.
Respondent Lawyers(s): Ami Shah
Arbitrator(s): Marilyn H. Zuckerman, Laura M. Nelson, Alan Harry Roth
Hearing Site: Boston, MA
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| 08-00485 | 10/17/2008 | Claimant(s): Deborah Galarneau
Claimant Lawyers(s): Rufus E. Brown
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Shari B. Broder, Deborah B. Haskell, Jack B. Golden
Hearing Site: Boston, MA
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| 08-00456 | 08/14/2008 | Claimant(s): CCO Investment Services Corp
Claimant Lawyers(s): David M. Belcher
Respondent(s): Citigroup Global Markets., Peter Coley
Respondent Lawyers(s): David A. Stein
Arbitrator(s): Richard J. Grahn, Joseph F. Meldon, Andrea J. Goldman
Hearing Site: Boston, MA
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| 06-04502 | 07/01/2008 | Claimant(s): Janet MacLean
Claimant Lawyers(s): Paul M. Glickman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): Mary C. Kelleher
Hearing Site: Boston, MA
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| 07-02319 | 07/01/2008 | Claimant(s): Eric Hansen
Claimant Lawyers(s): Nicole A. Rizzo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Lucy J. Karl, Peter L. Curry, Jeffrey P. Petrucelly
Hearing Site: Boston, MA
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| 07-02186 | 05/22/2008 | Claimant(s): Robert Kelliher
Claimant Lawyers(s): Robert F. Kelliher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Andrew H. Smith
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
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| 06-04399 | 05/21/2008 | Claimant(s): Daniel Dart
Claimant Lawyers(s): Dan Driscoll
Respondent(s): Pioneer Funds Distributor., Pioneer Investment Management USA., Pioneer Investment Management.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): S. Lawrence Gwin, John F. Poole, Edward Joseph Boudreau
Hearing Site: Boston, MA
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| 07-02850 | 05/06/2008 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffrey Bacon
Respondent Lawyers(s): Jeffrey R. Bacon
Arbitrator(s): Amy Lampert, Sharon L. Monroe, Daniel J. Candura
Hearing Site: Boston, MA
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| 07-00898 | 04/24/2008 | Claimant(s): Matthew Ciaramella
Claimant Lawyers(s): Matthew J. Ciaramella
Respondent(s): Putnam Retail Management Ltd. Partners
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
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| 06-04325 | 02/06/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Greg Simon
Respondent(s): David Smith
Respondent Lawyers(s): Jessica Block
Arbitrator(s): Stephen M. Acerra, Zenon Charles Tencza, Jacqueline Marie Pierre
Hearing Site: Boston, MA
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