| 06-04310 | 02/13/2009 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Paul J. Schumacher
Respondent(s): Jaysen McCleary
Respondent Lawyers(s): Lenny Steiner
Arbitrator(s): Lawrence Yaeger, Kendall C. Reed, Arthur Alef
Hearing Site: Los Angeles, CA
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| 08-01267 | 02/09/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Antonio Fontana
Respondent Lawyers(s): William F. Clark
Arbitrator(s): Kathryn L. Krebs, Carol Jeanne Medof, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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| 07-02111 | 02/06/2009 | Claimant(s): Paul Baiocchi
Claimant Lawyers(s): L.B. Chip Edleson
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Debra L. Fischer
Arbitrator(s): Laurent C. Vonderweidt, Dennis A. Torres, Debra Brothers Self
Hearing Site: Los Angeles, CA
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| 08-02807 | 01/30/2009 | Claimant(s): First Midwest Securities.
Claimant Lawyers(s): Renee Emrick
Respondent(s): Daniel Vazquez
Respondent Lawyers(s): Daniel Benjamin Vazquez
Arbitrator(s): Marvin B. Karelitz
Hearing Site: Los Angeles, CA
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| 08-01312 | 01/23/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jeremiah Smith
Respondent Lawyers(s): Jeremiah L. Smith
Arbitrator(s): Robert S. Fash, Kenneth I. Rosenblum, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
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| 08-01772 | 01/22/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Richard Gomez
Respondent Lawyers(s): Richard C. Gomez
Arbitrator(s): James P. Murphy, Robert Bruce MacDonald, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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| 07-03274 | 01/13/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Edward McNally
Respondent Lawyers(s): Edward M. McNally
Arbitrator(s): Philip W. Burge, Salvatore A. Sciortino, Joel D. Davidman
Hearing Site: Los Angeles, CA
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| 08-00488 | 10/15/2008 | Claimant(s): Robert Schultz
Claimant Lawyers(s): Robert E. Schultz
Respondent(s): Edward Wedbush, Jonathan Carr, Michael Gardner, R.J. Richards
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Ronald E. Ogden
Hearing Site: Los Angeles, CA
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| 05-06280 | 10/08/2008 | Claimant(s): Prudential Equity Group
Claimant Lawyers(s): David W. Schmidt
Respondent(s): Stanley Szymczyk
Respondent Lawyers(s): Stephen A. Madoni
Arbitrator(s): Salvatore A. Sciortino, James M. Goldberg, Karen J. Burneff
Hearing Site: Los Angeles, CA
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| 06-04971 | 10/07/2008 | Claimant(s): Larry Fullmer
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): George H. Casey, Dorothy B. Strackbein, Mark A. Levy
Hearing Site: Los Angeles, CA
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