| 05-06273 | 05/19/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): James Jackson, Laura Rowley
Respondent Lawyers(s): Robert A. Kantas, Ronald P. Kane
Arbitrator(s): Daniel R. Schmieder, Dale A. Hearn, Carol Frances Relihan
Hearing Site: Houston, TX
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| 07-01369 | 05/12/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Hamrick
Respondent Lawyers(s): James M. Hamrick
Arbitrator(s): Eli Bensky, Dale A. Hearn, Ruth Smith Jackson
Hearing Site: Houston, TX
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| 07-00352 | 02/20/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Crystal Steele
Respondent Lawyers(s): Crystal Steele
Arbitrator(s): Walton L. Huff, Leslie Bernard Jallans, Stacey L. Barnes
Hearing Site: Houston, TX
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| 06-04739 | 01/30/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Douglas D. Callaway
Respondent(s): Larry Margozewitz
Respondent Lawyers(s): Larry R. Margozewitz
Arbitrator(s): Thomas H. Griffin, Joshua D. Wallach, Leslie Bernard Jallans
Hearing Site: Houston, TX
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| 05-03814 | 12/19/2007 | Claimant(s): Arthur Kieval
Claimant Lawyers(s): David L. Ward
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): James Mervin Benson, Frank M. Romano, Eli Bensky
Hearing Site: Houston, TX
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| 07-01404 | 12/10/2007 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jamie B. Kennedy
Respondent(s): Stephen Stroud
Respondent Lawyers(s): Stephen D. Stroud
Arbitrator(s): John Michael Watson
Hearing Site: Houston, TX
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| 07-00450 | 11/16/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): James Bell
Respondent Lawyers(s): Walter Jefferson
Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Joshua D. Wallach
Hearing Site: Houston, TX
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| 07-00941 | 10/19/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Liu
Respondent Lawyers(s): John Young Liu
Arbitrator(s): Mary Ann Tunick
Hearing Site: Houston, TX
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| 06-02033 | 08/15/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eduardo Tejada
Respondent Lawyers(s): Eduardo M. Tejada
Arbitrator(s): George A. Sellnau, William R. Jonson, Edmund Herbert Hecht
Hearing Site: Houston, TX
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