| 07-02111 | 02/06/2009 | Claimant(s): Paul Baiocchi
Claimant Lawyers(s): L.B. Chip Edleson
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Debra L. Fischer
Arbitrator(s): Laurent C. Vonderweidt, Dennis A. Torres, Debra Brothers Self
Hearing Site: Los Angeles, CA
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| 08-00093 | 02/06/2009 | Claimant(s): Joseph Rosio
Claimant Lawyers(s): Norman B. Arnoff
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Joseph Allgor
Arbitrator(s): Edward L. Levine, Robert M. Berman, Thomas Anthony Brady
Hearing Site: Newark, NJ
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| 08-00520 | 02/06/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David Smith
Respondent(s): Vincent Monaco
Respondent Lawyers(s): Vincent M. Monaco
Arbitrator(s): Gerald A. Guild, J. Kenneth Lyons, Richard V. Adams
Hearing Site: Newark, NJ
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| 08-00085 | 02/05/2009 | Claimant(s): Stephen Grayer
Claimant Lawyers(s): Stephen B. Grayer
Respondent(s): Robert Malin, Steven Malin, A.B. Watley Direct., A.B. Watley., Integrated Clearing Solutions.
Respondent Lawyers(s): Janice M. Johnson
Arbitrator(s): Joseph J. Arata, Leona Beane
Hearing Site: New York, NY
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| 08-00733 | 02/05/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David Ward
Respondent(s): Timothy McNamara
Respondent Lawyers(s): Roger S. Davis
Arbitrator(s): Sandor I. Rabkin, Dennis M. Cronin, Charles A. Goglia
Hearing Site: Boston, MA
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| 08-00911 | 02/04/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Ladd Aliff
Respondent Lawyers(s): Lawrence Duffy
Arbitrator(s): Ralph H. Emer, Richard E. Conner, Robert J. Saex
Hearing Site: Boca Raton, FL
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| 04-06761 | 02/03/2009 | Claimant(s): Garrett Going
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Brian King, Faith Lee, Joseph McAdams, Robert Gillin, Syndicated Capital.
Respondent Lawyers(s): Brian P King, Liam O'Brien, Marc A. Susswein
Arbitrator(s): Dennis C. Meyerson, Mitchell S. Friedman, Judith C. Greene
Hearing Site: New York, NY
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| 08-00018 | 02/03/2009 | Claimant(s): David DeYoung, Lorrie Turvold
Claimant Lawyers(s): James H. Kaster
Respondent(s): Marc Kozberg, Michael Leonard, The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): Frederick Ramos, David A. Peterson, Frank Abramson
Hearing Site: Minneapolis, MN
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| 08-02270 | 02/03/2009 | Claimant(s): Avalon Partners.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Brendan Gillespie
Respondent Lawyers(s): Brendan Thomas Gillespie
Arbitrator(s): William A. Hohauser
Hearing Site: New York, NY
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| 08-02558 | 02/03/2009 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James E. Siegel
Respondent(s): Steven Ferchak
Respondent Lawyers(s): Steven Joseph Ferchak
Arbitrator(s): Kevin Thomas Hoffman
Hearing Site: New York, NY
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