| 08-00123 | 04/16/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): J. Michael Riordan
Respondent(s): Joseph Delaura
Respondent Lawyers(s): Barry R. Lax
Arbitrator(s): Douglas John Baumann, Norman Kass, Robert Alan Mayer
Hearing Site: Newark, NJ
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| 08-00344 | 04/16/2009 | Claimant(s): Joseph Delaura
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth O'Connor
Arbitrator(s):
Hearing Site: Newark, NJ
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| 08-00453 | 04/16/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Winston
Respondent Lawyers(s): Ethan Chernin
Arbitrator(s): Robert S. Fash, Kenneth I. Rosenblum, Ronald E. Ogden
Hearing Site: Los Angeles, CA
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| 08-01592 | 04/16/2009 | Claimant(s): Albert Vacchiano
Claimant Lawyers(s): Kathleen Peratis
Respondent(s): Amerivest Partners, Bay Crest Partners, Freedom Holding Group
Respondent Lawyers(s): Anthony J. DiOrio
Arbitrator(s): Bruce K. Isenberg, Mae A. Brudner, Kathleen Cawley
Hearing Site: New York, NY
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| 07-02068 | 04/15/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Javier Aviles, Banc of America Investment Services Inc.
Respondent Lawyers(s): David Brodie, Peter J. Aldrich
Arbitrator(s): David P. Slater, Mauricio Arcadier, Dorothy N. Johnson
Hearing Site: Boca Raton, FL
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| 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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| 08-00928 | 04/14/2009 | Claimant(s): H. Scherr
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julianne L. Peck
Arbitrator(s): Lloyd Haas, T.S.L. Perlman, Ellen F. Kandell
Hearing Site: Baltimore, MD
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| 08-03455 | 04/14/2009 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Richmond Ashley
Respondent Lawyers(s): Richmond A. Ashley
Arbitrator(s): Larry M. Dreyfus, Howard B. Silverman, Suanne F. Goldman
Hearing Site: Chicago, IL
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| 08-03522 | 04/14/2009 | Claimant(s): Financial Network Investment Corporation, Homeland Credit Union
Claimant Lawyers(s): John P. Thomas
Respondent(s): Mark Justice, Justice Financial Services., Mark Justice Financial.
Respondent Lawyers(s): James K. Cutright
Arbitrator(s): W. Sean Kelleher, Jo Ann Numbers, Stanley Kenneth Evans
Hearing Site: Columbus, OH
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| 08-04115 | 04/14/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gary Shorter
Respondent Lawyers(s): Gary T. Shorter
Arbitrator(s): Victor Elting
Hearing Site: Chicago, IL
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