| 06-04042 | 03/23/2009 | Claimant(s): Robert Traitz
Claimant Lawyers(s): James A. Batson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Edith M. Novack, S. Charles Tabak, Phillip Benedetto
Hearing Site: Newark, NJ
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| 07-02064 | 03/23/2009 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Randle B. Carpenter
Respondent(s): Shawn Vincze
Respondent Lawyers(s): Shawn Vincze
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 08-03126 | 03/23/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Michael Cox
Respondent Lawyers(s): Michael D. Cox
Arbitrator(s): Lowell D. Johnston
Hearing Site: New York, NY
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| 05-03716 | 03/20/2009 | Claimant(s): Kirlin Securities.
Claimant Lawyers(s): Isaac M. Zucker
Respondent(s): Anthony Kirincic, David Lindner, Edward Deicke, Edward Wells, Frank Nargentino, Marcello Lattuca, Matthew Senicola, GunnAllen Financial
Respondent Lawyers(s): Isaac M. Zucker, Jay Israel, Michael Gilmore
Arbitrator(s): Philip M. Mandel, Krishna M. Vempaty, William G. Binckes
Hearing Site: New York, NY
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| 07-01196 | 03/20/2009 | Claimant(s): Gary Neiens
Claimant Lawyers(s): Maureen J. Duris
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Susan B. Gans-Smith, Ronald E. Malmfeldt, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 08-00403 | 03/20/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jon Armstrong
Respondent Lawyers(s): Jon D. Armstrong
Arbitrator(s): Douglas E. DeTata, Paul M. Foster, John Edward Bersin
Hearing Site: San Francisco, CA
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| 08-01034 | 03/20/2009 | Claimant(s): Randy Smith
Claimant Lawyers(s): David R. Clouston
Respondent(s): Mitch Kramer
Respondent Lawyers(s): Eric F. Dankesreiter
Arbitrator(s): Jeff Abrams, Robert R. Nursey, G. Maynard Green
Hearing Site: Dallas, TX
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| 08-02938 | 03/20/2009 | Claimant(s): Pointe Capital.
Claimant Lawyers(s): Daniel R Levene
Respondent(s): Nicolas Arango
Respondent Lawyers(s): Nicolas Esteban Arango
Arbitrator(s): J. Julie Jason
Hearing Site: New York, NY
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| 07-02664 | 03/18/2009 | Claimant(s): Capital Growth Financial
Claimant Lawyers(s): Michael Jacobs
Respondent(s): Gregg Nussbaum, First American Capital & Trading Corp.
Respondent Lawyers(s): Marc S. Dobin, Neil S. Baritz
Arbitrator(s): Jeffrey C. Thompson, Joel Margolies, Edward J. Gordon
Hearing Site: Boca Raton, FL
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| 07-03221 | 03/18/2009 | Claimant(s): Michael Vanin
Claimant Lawyers(s): Valerie S. Carter
Respondent(s): Wachovia Securities, Prudential Equity Group
Respondent Lawyers(s): Barry J. Miller, Thomas J. Kavaler
Arbitrator(s): Gerald H. Powers, Patricia Gatto Hechavarria, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
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