| 98-00187 | 02/23/2009 | Claimant(s): Robert O'Brien
Claimant Lawyers(s): Robert J. O'Brien
Respondent(s): Deborah Sachs, John Sabo, Kenneth Rickel
Respondent Lawyers(s): Deborah K. Sachs, Dereck Wolman, John Charles Sabo
Arbitrator(s): Richard P. Ryder, James J. Noone, Richard V. Adams
Hearing Site: New York, NY
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| 99-00155 | 02/23/2009 | Claimant(s): Dan Druz
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Morgan Stanley DW Inc., Richard Hayes
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Joan M. Traub, Simone A. Muscarnera, Nathalie Potter Maio
Hearing Site: Newark, NJ
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| 06-04114 | 02/19/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Holway
Respondent Lawyers(s): Peter H. Noone
Arbitrator(s): J. David Crawford
Hearing Site: Boston, MA
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| 07-03346 | 02/19/2009 | Claimant(s): Avi Warga
Claimant Lawyers(s): Alan S. Fellheimer
Respondent(s): Isaac Schlesinger, Robert Rosen, Bishop, Rosen & Co..
Respondent Lawyers(s): Martin S. Siegel
Arbitrator(s): Fred S. Pieroni, Arthur S. Joseph, James D. Siegel
Hearing Site: New York, NY
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| 07-02096 | 02/17/2009 | Claimant(s): David Glazov
Claimant Lawyers(s): D. Aaron Brock
Respondent(s): Ameriprise Advisor Services., Robert Terry
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Mandel E. Himelstein, Harold K. Hunt, Dennis A. Torres
Hearing Site: Los Angeles, CA
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| 06-04310 | 02/13/2009 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Paul J. Schumacher
Respondent(s): Jaysen McCleary
Respondent Lawyers(s): Lenny Steiner
Arbitrator(s): Lawrence Yaeger, Kendall C. Reed, Arthur Alef
Hearing Site: Los Angeles, CA
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| 08-00376 | 02/13/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Martin Hensley
Respondent Lawyers(s): Martin D. Hensley
Arbitrator(s): Jack C. Aycock, Harold Engelman, David P. McDuffee
Hearing Site: Raleigh, NC
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| 06-02155 | 02/12/2009 | Claimant(s): Richard Himmelstein
Claimant Lawyers(s): Matthew Dallas Gordon
Respondent(s): ING Financial Partners.
Respondent Lawyers(s): Richard N. Freeth
Arbitrator(s): Michael J. McCormack, Melinda S. Milberg, Edward Allison Downe
Hearing Site: Hartford, CT
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| 07-03256 | 02/12/2009 | Claimant(s): Alan Gildenberg
Claimant Lawyers(s): Jay A. Schwartz
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Marvin I. Horowitz, Norman A. Samson, Earlene R. Baggett-Hayes
Hearing Site: Detroit, MI
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| 08-00918 | 02/12/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Clifford Bartlett, III
Respondent Lawyers(s): Joan M. Markey
Arbitrator(s): Douglas F. Stone, Cheryl Feldman, Bruce Alan Whiteford
Hearing Site: New York, NY
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