| 08-02407 | 03/12/2009 | Claimant(s): The Jeffrey Matthews Financial Group LLC
Claimant Lawyers(s): Kenneth A. Elan
Respondent(s): Benjamin Miceli
Respondent Lawyers(s): Ronald J. Ricci
Arbitrator(s): Craig Scott Bartlett, Theodore Moreines, Richard H. Hoenig
Hearing Site: Newark, NJ
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| 07-02250 | 03/11/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): John Kendall
Respondent Lawyers(s): Ronald Weil
Arbitrator(s): John M. Eadie, Doug Campbell, Tom Cameron
Hearing Site: Boca Raton, FL
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| 08-00184 | 03/11/2009 | Claimant(s): George Wolfgang, Est. of George J. Wolgang by Linda Meyer
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Leslie Shenkler
Respondent Lawyers(s): Leslie M. Greenspan
Arbitrator(s): Garrett J. Dombrowski, Anthony P. Connolly, Edith M. Novack
Hearing Site: Newark, NJ
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| 08-03000 | 03/11/2009 | Claimant(s): Andrew Tressler, Anthony Graziano, Derek Rehill, Todd Aitken, NoCoa Corporation
Claimant Lawyers(s): Andrew Tressler, Anthony Graziano, Derek Rehill, Nocoa Corporation, Todd Aitken
Respondent(s): David Carter
Respondent Lawyers(s): DAVID I CARTER
Arbitrator(s): John A. Astorina
Hearing Site: New York, NY
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| 07-00345 | 03/10/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Warren Rockmacher
Respondent Lawyers(s): Warren M. Rockmacher
Arbitrator(s): Mark D. Quinn, Charles L. Henderson, Allan N. Taffet
Hearing Site: New York, NY
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| 08-00620 | 03/10/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Kopeck
Respondent Lawyers(s): Susan M. Guerette
Arbitrator(s): John B. Glueckert, Patrick J. Burley, Stanley Kenneth Evans
Hearing Site: Cincinnati, OH
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| 07-00664 | 03/09/2009 | Claimant(s): Uzo Chima
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Suntrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis
Arbitrator(s): E. William Pastor, Gerald B. Marcovsky, Judith A. Ashley
Hearing Site: Baltimore, MD
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| 08-00476 | 03/05/2009 | Claimant(s): Eileen Valentino-Condon
Claimant Lawyers(s): Brett D. Sherman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Douglas H. Wigdor
Arbitrator(s): Carol E. Weir, Saul Scheier, Mae A. Brudner
Hearing Site: New York, NY
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| 08-01092 | 03/05/2009 | Claimant(s): John Saldutte
Claimant Lawyers(s): David G. Bray
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Margaret Goetze
Arbitrator(s): Marc Kalish, Peter Joseph Kalman, David F. Sargent
Hearing Site: Phoenix, AZ
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| 07-03282 | 03/03/2009 | Claimant(s): Joseph Stevens & Company.
Claimant Lawyers(s): Seth Huberman
Respondent(s): Henry Sanabria, John Sideris, Joseph Blocken, Louis Scalise, Mark Dalcollo, Renatto Cornejo, Thomas Gallagher, Vincent Trapozzano
Respondent Lawyers(s): Henry Sanabria, John Chris Sideris, Joseph Blocken, Louis Peter Scalise, Mark Dalcollo, Renatto Antonino Cornejo, Thomas Ranger Gallagher, Vincent Manuel Trapozzano
Arbitrator(s): Daniel B. Berkson, Jeffrey F. Friedman, Mark A. Egert
Hearing Site: New York, NY
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