| 06-04356 | 01/30/2008 | Claimant(s): Donald Kent, Dwight Campbell, MCM Advisors Corp., et al
Claimant Lawyers(s): James D. Sallah
Respondent(s): Ernest McMullen
Respondent Lawyers(s): Andrew T. Lavin
Arbitrator(s): Lanny M. Leff, Mark A. Buckstein, Arnold Levine
Hearing Site: Boca Raton, FL
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| 07-00451 | 01/10/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Peter Muer
Respondent Lawyers(s): Peter M. Muer
Arbitrator(s): Harvey Wayne
Hearing Site: Boca Raton, FL
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| 07-01754 | 01/02/2008 | Claimant(s): Sterling Financial Investment Group
Claimant Lawyers(s): Joshua Bleil
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Sherryll Martens Dunaj
Arbitrator(s): Michael S. Hill, Coletta L. Dorado, Rosemary E. Desmond
Hearing Site: Boca Raton, FL
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| 06-00479 | 12/17/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David James Smith
Respondent(s): Richard Rubin
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Thomas R. Maimone, Frank Nussbaum, Joel F. Martineau
Hearing Site: Boca Raton, FL
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| 07-02046 | 12/11/2007 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Carrie L. Chelko
Respondent(s): Michael Pinckes
Respondent Lawyers(s): Michael J. Pinckes
Arbitrator(s): Sandra J. Bakalus
Hearing Site: Boca Raton, FL
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| 04-04358 | 12/03/2007 | Claimant(s): Ameena Ali
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Robert Henderson, William Stenlund, Acument Securities.
Respondent Lawyers(s): Marc S. Dobin, Robert Henderson
Arbitrator(s): Melanie S. Cherdack, Jennifer Gwyn Klein, Charles Hoffman
Hearing Site: Boca Raton, FL
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| 06-05234 | 11/01/2007 | Claimant(s): Capital Growth Financial
Claimant Lawyers(s): Delmer C. Gowing
Respondent(s): Gregg Zadrozny
Respondent Lawyers(s): Gregg Thomas Zadrozny
Arbitrator(s): Sheldon I. Saitlin, David T. Adonailo, William James Russell
Hearing Site: Boca Raton, FL
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| 06-05335 | 10/22/2007 | Claimant(s): Sandgrain Securities.
Claimant Lawyers(s): Robert A. Giacovas
Respondent(s): Richard Aulicino
Respondent Lawyers(s): Jessica N. Garvin
Arbitrator(s): G. Robert Abrams, Robert A. Sauerberg, Sherry Puro
Hearing Site: Boca Raton, FL
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| 07-02021 | 10/18/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Mark Evans
Respondent Lawyers(s): Mark A. Evans
Arbitrator(s): Robert A. Fabricant
Hearing Site: Boca Raton, FL
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| 06-04209 | 10/17/2007 | Claimant(s): M Securities Investment.
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Calvin Grigsby, Grigsby & Associates.
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): James D. McDonald, Robert S. Natiss, Marc S. Dobin
Hearing Site: Boca Raton, FL
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