| 05-06281 | 09/26/2008 | Claimant(s): Charles Salfity
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Scott Householder, Todd Bergeron, The Householder Group, LLLP
Respondent Lawyers(s): David H. Carmichael, David Carmichael
Arbitrator(s): Robert J. Ruben, A. Joel Klein, James M. Goldberg
Hearing Site: Los Angeles, CA
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| 07-01941 | 09/23/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Gary Handler
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert S. Fash, Robert Elman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
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| 05-05165 | 09/08/2008 | Claimant(s): Edward Martell
Claimant Lawyers(s): Kevin J. Hizon
Respondent(s): Calvin Garvin, Rod Kamps, Financial Advisors Network.
Respondent Lawyers(s): Kevin E. Monson
Arbitrator(s): Douglas J. Rovens, Mark A. Levy, James S. Carlson
Hearing Site: Los Angeles, CA
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| 08-00581 | 09/05/2008 | Claimant(s): Pointe Capital.
Claimant Lawyers(s): Daniel R Levene
Respondent(s): Arthur Gerome
Respondent Lawyers(s): Arthur Anthony Gerome
Arbitrator(s): Jeffrey E. Skogsbergh
Hearing Site: Los Angeles, CA
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| 06-04695 | 08/29/2008 | Claimant(s): Flavia LoCoco
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Jason S. Mills
Arbitrator(s): Ralph H. Erickson, Holly Banafsheh, Steven K. Ogata
Hearing Site: Los Angeles, CA
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| 07-02566 | 08/29/2008 | Claimant(s): GunnAllen Financial.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Poutre, II, Shlomi Eplboim
Respondent Lawyers(s): Michael Poutre, Shlomi Eplboim
Arbitrator(s): Robert Taylor, Blaine Smith, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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| 01-06400 | 08/26/2008 | Claimant(s): Robert Tarrington
Claimant Lawyers(s): Robert W. Tarrington
Respondent(s): John Lee, Laurence Forsman, A.G. Edwards & Sons.
Respondent Lawyers(s): Jason S. Mills, Laurence S. Forsman, Nuviah Shirazi
Arbitrator(s): Martin Mandel, David J. Anderson, Michael D. Harrison
Hearing Site: Los Angeles, CA
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| 07-01487 | 08/04/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Arthur Castro
Respondent Lawyers(s): David L. Casterline
Arbitrator(s): Bert Levy, Basil Lewis, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 07-01087 | 06/12/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): John Hernandez
Respondent Lawyers(s): Daniel L. Hitzke
Arbitrator(s): Basil Lewis, Walter R. Whitman, Carol Jeanne Medof
Hearing Site: Los Angeles, CA
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| 06-05141 | 06/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lisett DiDonato-Young
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Laurent C. Vonderweidt, Barton J. Brewer, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
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