| 06-03052 | 03/02/2009 | Claimant(s): Lawrence Adelman
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): James A. Laurenson, Mitchell B. Goldberg, Blanca E. Ortiz
Hearing Site: Cleveland, OH
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| 07-02012 | 02/27/2009 | Claimant(s): AmTrust Investment Services.
Claimant Lawyers(s): Max E. Dehn
Respondent(s): David Kopsak, Jonathan Mesok, Robbin Guy, Charter One Financial., Charter One Investment Services
Respondent Lawyers(s): Wm. Joseph Baker
Arbitrator(s): Thomas C. Wagner, Sanford Heiser, Robert P. Weisberger
Hearing Site: Cleveland, OH
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| 08-00809 | 02/27/2009 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ed. Magarian
Respondent(s): Vladimer Victor
Respondent Lawyers(s): Vladimir Victor
Arbitrator(s): James A. Laurenson
Hearing Site: Cleveland, OH
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| 08-00805 | 12/19/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Robert Berry
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): David J. Capriotti
Hearing Site: Cleveland, OH
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| 08-00718 | 12/04/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Diane Spencer
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): Gary R. Miles, Robert P. Weisberger, Michael Brian McCord
Hearing Site: Cleveland, OH
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| 08-00951 | 11/20/2008 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Richard McCrea
Respondent Lawyers(s): Richard Porter McCrea
Arbitrator(s): Peter L. Pointer, Jay S. Ferrier, C. Robert Rittberger
Hearing Site: Cleveland, OH
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| 07-02981 | 09/03/2008 | Claimant(s): Ryan Beck & Co.,
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Herbert Hunt
Respondent Lawyers(s): Herbert Hunt
Arbitrator(s): Rita E. Tholt
Hearing Site: Cleveland, OH
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| 07-02278 | 04/02/2008 | Claimant(s): Walter Moore
Claimant Lawyers(s): Victor A. Mezacapa
Respondent(s): Richard Tanner
Respondent Lawyers(s): Roger W. Van Deusen
Arbitrator(s): Daniel G. Zeiser
Hearing Site: Cleveland, OH
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| 07-00970 | 02/15/2008 | Claimant(s): Kevin Doss
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Roger W. Van Deusen, James A. Laurenson, Blanca E. Ortiz
Hearing Site: Cleveland, OH
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| 05-00899 | 10/02/2007 | Claimant(s): Midsouth Capital.
Claimant Lawyers(s): Thomas R. Todd
Respondent(s): Roger Faubel, Dow Financial Services.
Respondent Lawyers(s): James L. Messenger
Arbitrator(s): Robert Rapp
Hearing Site: Cleveland, OH
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