| 07-03632 | 07/28/2008 | Claimant(s): Robert Melle
Claimant Lawyers(s): Martin P. Unger
Respondent(s): MBSC Securities Corporation
Respondent Lawyers(s): Catherine S. Ryan
Arbitrator(s): Henry Tiffany, Julian F. Santos, Gayle S. Sanders
Hearing Site: New York, NY
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| 05-03614 | 07/25/2008 | Claimant(s): Capital Investment Group.
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Mark Kyle
Respondent Lawyers(s): Mark D. Kyle
Arbitrator(s): Timothy J. Wright, Mitchell M. Willoughby, John D. Robb
Hearing Site: Raleigh, NC
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| 05-05320 | 07/25/2008 | Claimant(s): David Levy
Claimant Lawyers(s): David B. Bernfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Alfred P. Reeves, Larry W. Befeler, Mitchell Jay Bayer
Hearing Site: New York, NY
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| 07-01275 | 07/25/2008 | Claimant(s): First Command Financial Planning., First Command Financial Services.
Claimant Lawyers(s): Jeremy L. Harmon, Lee F. Christie
Respondent(s): James Washnock, John Washnock
Respondent Lawyers(s): Gregory T. Talley
Arbitrator(s): Jack K. Lovette, Daniel A. Kile, Robert E. Treadaway
Hearing Site: Dallas, TX
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| 07-01349 | 07/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Paul Hitchcock
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Alexander L. Mazour, Paul A. D. Evans, Terri Coster Boesch
Hearing Site: San Francisco, CA
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| 07-02653 | 07/25/2008 | Claimant(s): Robert Frank
Claimant Lawyers(s): Frank L. Kollman
Respondent(s): Ferris, Baker Watts Inc.
Respondent Lawyers(s): Susan M. Guerette
Arbitrator(s): Donald R. Giacomelli, Baunita M. Greer, Joan M. Smith
Hearing Site: Baltimore, MD
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| 07-03376 | 07/23/2008 | Claimant(s): Scott Rosenberg
Claimant Lawyers(s): Scott Rosenberg
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Robert F. Sanville
Hearing Site: Philadelphia, PA
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| 08-00147 | 07/23/2008 | Claimant(s): Pointe Capital.
Claimant Lawyers(s): Daniel R. Levene
Respondent(s): Kurt Muller
Respondent Lawyers(s): Kurt Yasin Muller
Arbitrator(s): Gilbert F. Bach
Hearing Site: New York, NY
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| 08-00272 | 07/21/2008 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): John Nysather
Respondent Lawyers(s): John Nysather
Arbitrator(s): A. Brad Busscher
Hearing Site: Chicago, IL
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| 07-02466 | 07/17/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Sherrick
Respondent Lawyers(s): Joseph J. Sherrick
Arbitrator(s): Bonnie K. Wachtel, Donald R. Giacomelli, Stephanie Wagner Ketchum
Hearing Site: Baltimore, MD
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