| 06-00895 | 11/01/2007 | Claimant(s): Debra Reda-Cappos
Claimant Lawyers(s): William Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): Michael J. Abbott, Sheryl L. Skibbe
Arbitrator(s): Howard A. Emirhanian, Salvatore A. Sciortino, Steven J. Feldman
Hearing Site: Los Angeles, CA
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| 01-03420 | 10/25/2007 | Claimant(s): Money Concepts Capital Corporation, Money Concepts International.
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Mamdoh Abas, ProEquities.
Respondent Lawyers(s): Mark Abas, Peter E. Romo
Arbitrator(s): Howard A. Emirhanian, Herbert Murez, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
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| 06-05370 | 10/11/2007 | Claimant(s): Richard Case
Claimant Lawyers(s): William Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): Eric M. Steinert, G. Thomas Fleming
Arbitrator(s): Bert Levy, Richard J. Stall, Barton J. Brewer
Hearing Site: Los Angeles, CA
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| 07-01031 | 10/11/2007 | Claimant(s): Thomas Hulick
Claimant Lawyers(s): Paul Kroeger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Marcie S. Mintz
Arbitrator(s): Harry Miller, Marvin B. Karelitz, Steven A. Wawra
Hearing Site: Los Angeles, CA
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| 06-04380 | 10/03/2007 | Claimant(s): Charlotte Lowe, Patrick Lowe
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Gerald A. Koris, Dawn M. Kirchner, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 06-04210 | 09/05/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas Volz
Respondent(s): Javier Ruedas
Respondent Lawyers(s): Dean R. Kitano
Arbitrator(s): Robert D. Sussin, Blaine Smith, Dennis A. Torres
Hearing Site: Los Angeles, CA
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| 05-01153 | 08/24/2007 | Claimant(s): Burke Dambly, Cindy Chiu, Corbin Thomas, James Walsh, Linda Bak, Robert Horning, Troy Thomas
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Michael Upton, Direct Capital Securities., MCL Financial Group., Upton Financial Services.
Respondent Lawyers(s): Clay Womack, Theodore Peters
Arbitrator(s): Barbara M. Zak, Dorothy B. Strackbein, Janice A. Salter
Hearing Site: Los Angeles, CA
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| 06-03185 | 08/20/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Elias Lopez-Hakimian
Respondent Lawyers(s): Daniel L. Hitzke
Arbitrator(s): Dennis A. Torres, Robert C. Albini, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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| 06-03416 | 08/17/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Alan Wise
Respondent Lawyers(s): Alan K. Wise
Arbitrator(s): Larry Haugaard, James P. Murphy, Ivan Claman
Hearing Site: Los Angeles, CA
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| 06-05354 | 08/14/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Nelvine Ocampo
Respondent Lawyers(s): Irving M. Einhorn
Arbitrator(s): Richard J. Stall, Norman Cousins Sasamori, Randall N. Kirk
Hearing Site: Los Angeles, CA
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