| 08-01305 | 01/23/2009 | Claimant(s): John Blanchette
Claimant Lawyers(s): John T. Blanchette
Respondent(s): FFP Securities.
Respondent Lawyers(s): Jessica F. Longobardi
Arbitrator(s): Hugh C. Durbin
Hearing Site: Louisville, KY
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| 08-01312 | 01/23/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jeremiah Smith
Respondent Lawyers(s): Jeremiah L. Smith
Arbitrator(s): Robert S. Fash, Kenneth I. Rosenblum, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
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| 08-01852 | 01/23/2009 | Claimant(s): Debora Yenny-Wittlinger
Claimant Lawyers(s): Debora A. Yenny-Wittlinger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Charles Ajamian
Hearing Site: Newark, NJ
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| 08-04122 | 01/23/2009 | Claimant(s): Neuberger Berman Management LLC
Claimant Lawyers(s): Jonathan C. Thau
Respondent(s): Jeffrey Tucker, RBC Capital Markets LLC, Seamus Monschein, Shari Mason, Steven Mascitelli
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Milton M. Stein, Robert Bartels, John D. Nagy
Hearing Site: New York, NY
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| 07-02345 | 01/22/2009 | Claimant(s): Continental Broker-Dealer Corp. by Ric
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Edward Schlitzer, George Calleia, Patricia Jamison, Wexford Clearing Services
Respondent Lawyers(s): George Calleia, John R. Braatz
Arbitrator(s): Andrew D. Hudders, Robert Pincus, Richard E. Lerner
Hearing Site: New York, NY
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| 08-01772 | 01/22/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Richard Gomez
Respondent Lawyers(s): Richard C. Gomez
Arbitrator(s): James P. Murphy, Robert Bruce MacDonald, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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| 08-02730 | 01/22/2009 | Claimant(s): Joseph Villalba
Claimant Lawyers(s): Joseph Luis Villalba
Respondent(s): Robert Vallone, Hold Brothers On-Line Investment Service
Respondent Lawyers(s): Martin H. Kaplan, Robert A. Vallone
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
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| 08-04035 | 01/22/2009 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Marc Miller, Morgan Keegan & Company.
Respondent Lawyers(s): George L. Guerra, Shea O'Brien Hicks
Arbitrator(s): Paul Sidney Elliott, JD, Pamela Jeanne Rush, Jonathan H. Stein
Hearing Site: Tampa, FL
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| 08-00087 | 01/21/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ken O'Connor
Respondent(s): Matthew McCabe
Respondent Lawyers(s): Matthew Robert McCabe
Arbitrator(s): J Lawrence Jones, C. Henry Lucas
Hearing Site: Albany, NY
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| 05-06051 | 01/16/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Sean Daly
Respondent Lawyers(s): Sean M. Daly
Arbitrator(s): Linda S. Cole, Joshua Mark Zucker, Renee La Verne Ross CFP
Hearing Site: New York, NY
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