| 08-02145 | 04/23/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Frank Kim
Respondent Lawyers(s): Michael A. Smeader
Arbitrator(s): Anthony Vitanza, Randolph Guggenheimer, Alan Kenneth Scheff
Hearing Site: Buffalo, NY
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| 08-04139 | 04/22/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Tracy Clifford
Respondent Lawyers(s): Tracy L. Clifford
Arbitrator(s): Alison Hardage
Hearing Site: Tampa, FL
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| 08-04173 | 04/22/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Parker
Respondent Lawyers(s): Michael Joe Parker
Arbitrator(s): Robert A. Vogler
Hearing Site: Detroit, MI
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| 08-04208 | 04/22/2009 | Claimant(s): Riverstone Wealth Management.
Claimant Lawyers(s): Marc L. Lippincott
Respondent(s): Jacob Carriker
Respondent Lawyers(s): Jacob Stevenson Carriker
Arbitrator(s): Donald K. Eckhardt
Hearing Site: Houston, TX
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| 08-04335 | 04/22/2009 | Claimant(s): Howard Braff
Claimant Lawyers(s): Howard Braff
Respondent(s): Christopher Collins
Respondent Lawyers(s): Christopher Alfredo Collins
Arbitrator(s): Catherine Ladnier
Hearing Site: New York, NY
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| 08-00169 | 04/21/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bryant Hayward, Richard Holm, Robert Corona
Respondent Lawyers(s): Charles H. Torres, Timothy N. Will
Arbitrator(s): Suanne M. Parro, Luis D. Rovira, Wylie G. Hairgrove
Hearing Site: Denver, CO
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| 08-00737 | 04/21/2009 | Claimant(s): Brian Armstrong, Shawndi Hatfield
Claimant Lawyers(s): Randall M. Foret
Respondent(s): Julie Rosenthal, William Rosenthal
Respondent Lawyers(s): Thomas S. Brandon
Arbitrator(s): Tony Michael Haddock, James W. Kerr, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
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| 07-01972 | 04/17/2009 | Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Anne Marie Murphy
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Paul J. Dubow, Carl B. Noelke, Thomas C. McNally
Hearing Site: San Francisco, CA
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| 08-01749 | 04/17/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Philip J. Campisi
Respondent(s): Van Washington
Respondent Lawyers(s): Van Washington
Arbitrator(s): Simeon R. Trotter, Robert R. Nursey, Darrell G. Compton
Hearing Site: Dallas, TX
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| 06-03789 | 04/16/2009 | Claimant(s): John Gaffney
Claimant Lawyers(s): Richard A. Herman
Respondent(s): Andrew Grillo, George Batelli Jr., Citigroup Global Markets., Maribeth Robinson, Peter Liebeskind, Steven Torrico
Respondent Lawyers(s): Christopher M. Galusha, Kevin B. Walker
Arbitrator(s): Charles A. Crocco, Marguerite B. Filson, Howard Breindel
Hearing Site: Newark, NJ
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