| 07-01135 | 09/23/2008 | Claimant(s): Ryan Beck & Co.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Arthur Ogbogu
Respondent Lawyers(s): Arthur Ogbogu
Arbitrator(s): Richard W Berenger, Joseph C. Pickard, William A. Hohauser
Hearing Site: New York, NY
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| 07-01342 | 09/23/2008 | Claimant(s): Ryan Beck & Co.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Paul Martin
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Patrick J. Howley, Ernest Edward Badway, Walter W. Jensen
Hearing Site: Newark, NJ
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| 07-01941 | 09/23/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Gary Handler
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert S. Fash, Robert Elman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
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| 07-02144 | 09/23/2008 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): Holt Harris
Respondent Lawyers(s): Holt E. Harris
Arbitrator(s): George F. Longino
Hearing Site: Dallas, TX
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| 07-02165 | 09/23/2008 | Claimant(s): Amy Levenson
Claimant Lawyers(s): Anne C. Vladeck
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Denzil J. Klippel, Richard E. Lerner, Joshua Mark Zucker
Hearing Site: New York, NY
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| 07-03612 | 09/23/2008 | Claimant(s): Adol Owen-Williams
Claimant Lawyers(s): James F. Shalleck
Respondent(s): BB&T Investment Services.
Respondent Lawyers(s): Alan L. Briggs
Arbitrator(s): Theodore W. Urban, Louis Nebel, Merle D. Rockwell
Hearing Site: Washington, DC
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| 07-02449 | 09/22/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Richard Smithson
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward T. Borer, Stephen T. Mayhew, Jack H. McNairy
Hearing Site: Philadelphia, PA
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| 07-02877 | 09/22/2008 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Martin Q. Ryan
Respondent(s): Scott Tischler
Respondent Lawyers(s): Scott Gregory Crowley
Arbitrator(s): Ida W. Draim, Keith A. Green, Donna L. Cooper
Hearing Site: Richmond, VA
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| 08-01162 | 09/22/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Thomas Hodges
Respondent Lawyers(s): Thomas S. Hodges
Arbitrator(s): Emily J. Lewis, John B. Glueckert, Jo Ann Numbers
Hearing Site: Cincinnati, OH
| | Stipulated Award |
| 07-02565 | 09/15/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Kret
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Carmen P. Michelotti, Gary D. Krueger, James A. Murphy
Hearing Site: Chicago, IL
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