| 08-01488 | 05/18/2009 | Claimant(s): Matthew Thournout
Claimant Lawyers(s): Peter V. Fullerton
Respondent(s): vFinance Investments.
Respondent Lawyers(s): Antoinette Theodossakos
Arbitrator(s): Sheldon I. Saitlin, James G. Gertz, Andrew Jay Kohan
Hearing Site: Boca Raton, FL
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| 07-02068 | 04/15/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Javier Aviles, Banc of America Investment Services Inc.
Respondent Lawyers(s): David Brodie, Peter J. Aldrich
Arbitrator(s): David P. Slater, Mauricio Arcadier, Dorothy N. Johnson
Hearing Site: Boca Raton, FL
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| 07-02664 | 03/18/2009 | Claimant(s): Capital Growth Financial
Claimant Lawyers(s): Michael Jacobs
Respondent(s): Gregg Nussbaum, First American Capital & Trading Corp.
Respondent Lawyers(s): Marc S. Dobin, Neil S. Baritz
Arbitrator(s): Jeffrey C. Thompson, Joel Margolies, Edward J. Gordon
Hearing Site: Boca Raton, FL
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| 07-02250 | 03/11/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): John Kendall
Respondent Lawyers(s): Ronald Weil
Arbitrator(s): John M. Eadie, Doug Campbell, Tom Cameron
Hearing Site: Boca Raton, FL
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| 08-03260 | 02/27/2009 | Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): David Katlic
Respondent Lawyers(s): David Katlic
Arbitrator(s): Lawrence M. Pitler
Hearing Site: Boca Raton, FL
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| 08-00976 | 02/26/2009 | Claimant(s): Jason Reitelman
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Noble International Investments.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Howard I. Ralby, Alice J. Johnson, Mitchell F. Colen
Hearing Site: Boca Raton, FL
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| 07-01863 | 02/25/2009 | Claimant(s): Gregory Riordan
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): IFMG Securities.
Respondent Lawyers(s): A. Wesley Bridges
Arbitrator(s): Tim A. Shane, Norman E. Heyman, Patricia Morin
Hearing Site: Boca Raton, FL
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| 08-00911 | 02/04/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Ladd Aliff
Respondent Lawyers(s): Lawrence Duffy
Arbitrator(s): Ralph H. Emer, Richard E. Conner, Robert J. Saex
Hearing Site: Boca Raton, FL
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| 06-03292 | 01/28/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Robert Peck
Respondent Lawyers(s): Robert Peck
Arbitrator(s): Robert B. Kane, Nelson J. Brous, Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 08-00198 | 01/28/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Marshall Isaacson
Respondent Lawyers(s): Delmer C. Gowing
Arbitrator(s): S. William Gersten
Hearing Site: Boca Raton, FL
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