| 07-03131 | 09/08/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Louis Gaudio
Respondent Lawyers(s): Louis M. Gaudio
Arbitrator(s): Lawrence M. Pitler, Mark Sidell, Paul Joseph McIntyre
Hearing Site: Boca Raton, FL
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| 08-00457 | 08/26/2008 | Claimant(s): Bruce Goldmacher
Claimant Lawyers(s): Ronald M. Gache
Respondent(s): Scott & Stringfellow
Respondent Lawyers(s): John W. Campbell
Arbitrator(s): Lanny M. Leff, Gustavus L. Pearthree, Stephen Farquhar Adams
Hearing Site: Boca Raton, FL
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| 07-03040 | 08/04/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Steven Owens
Respondent Lawyers(s): Gene D. Lipscher
Arbitrator(s): S. William Gersten
Hearing Site: Boca Raton, FL
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| 06-04968 | 07/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Sergio Negrini
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Syma S. Kasdin, Richard J. Kaplan, Norman E. Heyman
Hearing Site: Boca Raton, FL
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| 07-02382 | 04/28/2008 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): William Johnson
Respondent Lawyers(s): William Johnson
Arbitrator(s): David W. Haynes, Michael S. Hill, Walter John Chesney
Hearing Site: Boca Raton, FL
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| 07-01399 | 04/25/2008 | Claimant(s): J.B. Hanauer & Co.
Claimant Lawyers(s): Jeffrey L Cox
Respondent(s): Michael Gold
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Ned B. Young, Daniel H. Yaffe, Brian J. Kovack
Hearing Site: Boca Raton, FL
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| 07-00190 | 03/13/2008 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): William Zeena
Respondent(s): Humbert Michini, Paul Gaydos
Respondent Lawyers(s): Humbert Michini, Paul Gaydos
Arbitrator(s): Robert S. Natiss, Daniel H. Yaffe, Kathy N. Novick
Hearing Site: Boca Raton, FL
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| 07-01744 | 03/13/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Rick Jensen
Respondent Lawyers(s): William M. Van Camp
Arbitrator(s): Steven A. Hurst, Barry Rabinowitz, Michael S. Kozlow
Hearing Site: Boca Raton, FL
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| 07-01794 | 02/12/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Jacob Perdie
Respondent Lawyers(s): Jacob Perdie
Arbitrator(s): Michael S. Hill
Hearing Site: Boca Raton, FL
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| 07-00710 | 01/31/2008 | Claimant(s): Cliff Naparsteck
Claimant Lawyers(s): Cliff Martin Naparsteck
Respondent(s): Ameriprise Financial Services., John Schoppe
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Arnold B. Galperin
Hearing Site: Boca Raton, FL
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