| 07-02262 | 12/03/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Mark Adam
Respondent Lawyers(s): Jeffrey A. Sellers
Arbitrator(s): Anthony Vitanza, Gust D. Servis, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY
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| 08-00904 | 12/02/2008 | Claimant(s): Craig Jampol
Claimant Lawyers(s): Sean R. Kelly
Respondent(s): W.R. Hambrecht & Co..
Respondent Lawyers(s): Amy L. Ventry
Arbitrator(s): Abe I. Borenstein, Jerry M. Greenspan, Michael C. Deutsch
Hearing Site: New York, NY
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| 08-01062 | 12/01/2008 | Claimant(s): Avalon Partners.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Edgar Olmeda
Respondent Lawyers(s): Edgar Olmeda
Arbitrator(s): Doris Lindbergh
Hearing Site: New York, NY
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| 07-00200 | 11/26/2008 | Claimant(s): Angela Holifield, Sarah Frierson, TTEE of Marital TRT AGMT
Claimant Lawyers(s): William M. Cunningham
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Earle Park Kelley, Earle J. Schwarz, Suzette Merriam Foster
Hearing Site: Birmingham, AL
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| 07-03257 | 11/25/2008 | Claimant(s): Stephen Jans
Claimant Lawyers(s): Oliver E. Nelson
Respondent(s): Kevin Miller, Fringe Benefits Design Of Minnesota, Intervest International Equities Corpora, Intervest International.
Respondent Lawyers(s): Marnie L. DeWall, Melissa D. Hubbard
Arbitrator(s): Edward C. Oliver, Andrew R. Dick, JD Haas
Hearing Site: Minneapolis, MN
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| 08-00973 | 11/25/2008 | Claimant(s): Sun Li
Claimant Lawyers(s): Robert L. Lubin
Respondent(s): Jeff Clark
Respondent Lawyers(s): Jeff Clark
Arbitrator(s): James N. D'Orso, Katherine M. Van Hagan, Anthony G. Sousa
Hearing Site: San Francisco, CA
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| 07-01662 | 11/24/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory Simon
Respondent(s): Donna Shurot
Respondent Lawyers(s): Donna Shurot
Arbitrator(s): Thomas D. Tays, Thomas P. Delnoce, James W. Warren
Hearing Site: Phoenix, AZ
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| 08-00074 | 11/24/2008 | Claimant(s): John Jarvis
Claimant Lawyers(s): John W. Jarvis
Respondent(s): Peter Schopen
Respondent Lawyers(s): Otto K. Hilbert
Arbitrator(s): Harold M. Golz
Hearing Site: Denver, CO
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| 08-00478 | 11/20/2008 | Claimant(s): Paulson Investment Company.
Claimant Lawyers(s): Keith A. Ketterling
Respondent(s): Jason Swan
Respondent Lawyers(s): Jason R. Swan
Arbitrator(s): Alan J. Duncan
Hearing Site: Portland, OR
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| 08-00951 | 11/20/2008 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Richard McCrea
Respondent Lawyers(s): Richard Porter McCrea
Arbitrator(s): Peter L. Pointer, Jay S. Ferrier, C. Robert Rittberger
Hearing Site: Cleveland, OH
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