| 08-01807 | 02/26/2009 | Claimant(s): Richard Poss
Claimant Lawyers(s): Richard Neal Poss
Respondent(s): Delta Equity Services Corp.
Respondent Lawyers(s): Scott Aubrey
Arbitrator(s): Joyce F. Glucksman
Hearing Site: Atlanta, GA
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| 08-02391 | 02/26/2009 | Claimant(s): Rockwell Securities
Claimant Lawyers(s): Daniel Sakol
Respondent(s): Ray San Pedro
Respondent Lawyers(s): Ray Anthony Garrido San Pedro
Arbitrator(s): John B. Myers
Hearing Site: New York, NY
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| 07-01863 | 02/25/2009 | Claimant(s): Gregory Riordan
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): IFMG Securities.
Respondent Lawyers(s): A. Wesley Bridges
Arbitrator(s): Tim A. Shane, Norman E. Heyman, Patricia Morin
Hearing Site: Boca Raton, FL
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| 06-00290 | 02/24/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Craig Johnson
Respondent Lawyers(s): Jeffrey S. Leonard
Arbitrator(s): Deborah C. Bernot, Merton E. Marks, Lee R. Barbakoff
Hearing Site: Phoenix, AZ
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| 06-04422 | 02/24/2009 | Claimant(s): Dennis Mack
Claimant Lawyers(s): Richard L. Burstein
Respondent(s): George McAvoy, Matthew Smith, CP Capital Management, Cadaret, Grant & Co..
Respondent Lawyers(s): James Feathersonhaugh, Jeffrey A. Sellers
Arbitrator(s): David N. Brainin, Stuart M. Schwartz, Sheldon Dinowitz
Hearing Site: Albany, NY
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| 06-04438 | 02/24/2009 | Claimant(s): George Mcavoy, Matthew Smith, CP Capital Management.
Claimant Lawyers(s): James Feathersonhaugh
Respondent(s): Dennis Mack, Capital Retirement Solutions
Respondent Lawyers(s): Richard L. Burstein
Arbitrator(s):
Hearing Site: Albany, NY
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| 07-01469 | 02/24/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Christopher Theut
Respondent Lawyers(s): Jack J. Mazzara
Arbitrator(s): Mauricio Kohn, Patrick R. Sughroue, Eric S. Richards
Hearing Site: Detroit, MI
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| 07-02555 | 02/24/2009 | Claimant(s): Michael Fangman
Claimant Lawyers(s): Liam O'Brien
Respondent(s): National Financial Services LLC, Stanley Brooks, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald S. Davidson, H Thomas Fehn, Stanley C. Brooks
Arbitrator(s): Franklin Geerdes, Virginia H. Gaburo, Robert E. Witt
Hearing Site: San Diego, CA
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| 07-01009 | 02/23/2009 | Claimant(s): Virgil Smith
Claimant Lawyers(s): Virgel L. Smith
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Simeon R. Trotter, Peter J. Conlon, David Max Sanderford
Hearing Site: Dallas, TX
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| 08-00346 | 02/23/2009 | Claimant(s): Robert Drake
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Felicity A. Fowler
Arbitrator(s): James R. Augustine, W. Merrill Glasgow, Richard F. Dole
Hearing Site: Houston, TX
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