| 08-02661 | 01/29/2009 | Claimant(s): Avalon Partners.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Charles Banks
Respondent Lawyers(s): Charles Bradford Banks
Arbitrator(s): David J. Pine
Hearing Site: New York, NY
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| 06-03292 | 01/28/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Robert Peck
Respondent Lawyers(s): Robert Peck
Arbitrator(s): Robert B. Kane, Nelson J. Brous, Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 07-02997 | 01/28/2009 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Kevin O'Neil
Respondent Lawyers(s): Kevin P. O'Neil
Arbitrator(s): Dallas Whitney Coffman, Lane Steven Bucklan, James M Coakley
Hearing Site: Hartford, CT
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| 07-03321 | 01/28/2009 | Claimant(s): William Barber
Claimant Lawyers(s): Fred Van Remortel
Respondent(s): Scott & Stringfellow, BB&T Capital Markets
Respondent Lawyers(s): Sarah L. Allgeier
Arbitrator(s): Charles L. Henderson, Clarence Smith, Edna Rubin Sussman
Hearing Site: New York, NY
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| 08-00198 | 01/28/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Marshall Isaacson
Respondent Lawyers(s): Delmer C. Gowing
Arbitrator(s): S. William Gersten
Hearing Site: Boca Raton, FL
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| 08-00656 | 01/28/2009 | Claimant(s): Peter Kearns
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Neonet Securities.
Respondent Lawyers(s): Jeffrey S. Boxer
Arbitrator(s): Joseph J. Arata, Edward Buscemi, Paul B. Glantz
Hearing Site: New York, NY
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| 08-02368 | 01/28/2009 | Claimant(s): Robert Tillman
Claimant Lawyers(s): Robert Edward Tillman
Respondent(s): The Sonterra Group.
Respondent Lawyers(s): Roger Festor
Arbitrator(s): Ronald R. Simpson
Hearing Site: Houston, TX
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| 07-02146 | 01/27/2009 | Claimant(s): E*Trade Financial Corporation
Claimant Lawyers(s): Michael P. Elkon
Respondent(s): Grace Financial Group LLC
Respondent Lawyers(s): Patricia A. Christiansen
Arbitrator(s): David D. Cohen, David M. Snyder, Richard A. Rudolph
Hearing Site: Tampa, FL
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| 08-02191 | 01/27/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jennifer Johnston
Respondent Lawyers(s): Jennifer S. Johnston
Arbitrator(s): Mary Curran
Hearing Site: Seattle, WA
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| 07-03440 | 01/23/2009 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): William Scull
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): Lawrence W. Kern, Elton W. Chartrand
Hearing Site: Memphis, TN
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