| 05-01538 | 08/07/2008 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Kenneth Cecil
Respondent Lawyers(s): Jon D. Cohen
Arbitrator(s): Fay Clayton, Daniel Baruch Lidawer, Kathleen Hoey Gorr
Hearing Site: Chicago, IL
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| 07-03566 | 08/07/2008 | Claimant(s): Paul Burns
Claimant Lawyers(s): Paul Raymond Burns
Respondent(s): Lincoln Financial Advisors
Respondent Lawyers(s): Jonathan J. Myers
Arbitrator(s): Samuel L. McClaren
Hearing Site: Phoenix, AZ
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| 08-00135 | 08/06/2008 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Ronald Cole
Respondent Lawyers(s): Ronald Stillman Cole
Arbitrator(s): Leonard M. Bakal
Hearing Site: New York, NY
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| 07-01487 | 08/04/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Arthur Castro
Respondent Lawyers(s): David L. Casterline
Arbitrator(s): Bert Levy, Basil Lewis, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 07-03040 | 08/04/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Steven Owens
Respondent Lawyers(s): Gene D. Lipscher
Arbitrator(s): S. William Gersten
Hearing Site: Boca Raton, FL
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| 07-03299 | 08/04/2008 | Claimant(s): Michael Ice
Claimant Lawyers(s): William J. Foster
Respondent(s): Dresdner Kleinwort Securities
Respondent Lawyers(s): Lauren Malanga Casey
Arbitrator(s): Mark S. Brody, Hilary B. Miller, Robert S. Getman
Hearing Site: New York, NY
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| 06-05408 | 07/31/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Andy James
Respondent Lawyers(s): Armand Salese
Arbitrator(s): Richard B. Bequette, George N. Roy, Allan D. Breyer
Hearing Site: Phoenix, AZ
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| 07-00446 | 07/31/2008 | Claimant(s): Brent Cowin, Rock Mirich
Claimant Lawyers(s): Marie Mirch
Respondent(s): David Winchell, Jeffrey Graves, Julie Castle, Keith Schmidt, Lisa Dry, Mary With, Matthew Howard, Banc of America Investment Services Inc., Pat Jagielski, William Tanem, Bank of America
Respondent Lawyers(s): Bryce K. Kunimoto
Arbitrator(s): David W. Dresnick, Geoffrey A. VanderPal, Paul E. Dahlman
Hearing Site: Las Vegas, NV
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| 07-02816 | 07/31/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): UBS Financial Services Inc., Michael Fisher
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Edward Baer, Carol E. Weir, John N. Polakas
Hearing Site: New York, NY
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| 07-01778 | 07/28/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Ernest Elam
Respondent Lawyers(s): Ernest P. Elam
Arbitrator(s): Timothy L. Andrews, Maurice J. Fallas, Gary L. Foose
Hearing Site: Houston, TX
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