| 07-02439 | 04/14/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Randal Spears
Respondent Lawyers(s): Randal W. Spears
Arbitrator(s): Theodore E. Davis, Eli Bensky, Gary L. Foose
Hearing Site: Houston, TX
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| 08-00217 | 03/17/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Thomas D. Cordell
Respondent(s): Tommy Sausley
Respondent Lawyers(s): Tommy N. Sausley
Arbitrator(s): Bernard D. Hammer, Gregory E. Muenster, James M. Alexander
Hearing Site: Houston, TX
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| 08-00346 | 02/23/2009 | Claimant(s): Robert Drake
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Felicity A. Fowler
Arbitrator(s): James R. Augustine, W. Merrill Glasgow, Richard F. Dole
Hearing Site: Houston, TX
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| 08-02368 | 01/28/2009 | Claimant(s): Robert Tillman
Claimant Lawyers(s): Robert Edward Tillman
Respondent(s): The Sonterra Group.
Respondent Lawyers(s): Roger Festor
Arbitrator(s): Ronald R. Simpson
Hearing Site: Houston, TX
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| 08-01014 | 12/18/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Coffee
Respondent Lawyers(s): David S. Coffee
Arbitrator(s): John Michael Watson, William J. Kirkpatrick, Gary L. Foose
Hearing Site: Houston, TX
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| 07-03093 | 11/17/2008 | Claimant(s): Charles Satterfield
Claimant Lawyers(s): Charles M. Satterfield
Respondent(s): Bernerd Young, Daniel Bogar, Pamela Beckstrom, Stanford Group Company
Respondent Lawyers(s): Stephen H. Lee
Arbitrator(s): James R. Augustine, Donald K. Eckhardt, Eric R. Benton
Hearing Site: Houston, TX
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| 08-00328 | 09/09/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Rexrode
Respondent Lawyers(s): William T. Rexrode
Arbitrator(s): Dale A. Hearn, Walter F. Schleyer, Ruth Smith Jackson
Hearing Site: Houston, TX
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| 07-01778 | 07/28/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Ernest Elam
Respondent Lawyers(s): Ernest P. Elam
Arbitrator(s): Timothy L. Andrews, Maurice J. Fallas, Gary L. Foose
Hearing Site: Houston, TX
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| 08-00802 | 07/11/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Bradley Bangen
Respondent Lawyers(s): Bradley C. Bangen
Arbitrator(s): Arno C. Schwethelm
Hearing Site: Houston, TX
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| 07-00951 | 05/29/2008 | Claimant(s): Douglas Habryl
Claimant Lawyers(s): Jeffrey R. Singer
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): James G. Cooper, Martha Failing, James P. Hoefling
Hearing Site: Houston, TX
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