| 07-02404 | 07/16/2008 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Matthew R. Stammel
Respondent(s): A. Waddell
Respondent Lawyers(s): James A. Batson
Arbitrator(s): Bonnie K. Wachtel, Gerald Charnoff, Barbara B. Franklin
Hearing Site: Washington, DC
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| 07-02588 | 07/11/2008 | Claimant(s): Katie Guzzo
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Paul H. McKenna, Jared D. Simmer, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
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| 08-00802 | 07/11/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Bradley Bangen
Respondent Lawyers(s): Bradley C. Bangen
Arbitrator(s): Arno C. Schwethelm
Hearing Site: Houston, TX
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| 07-02874 | 07/10/2008 | Claimant(s): Bill Tsevdos
Claimant Lawyers(s): Bill S. Tsevdos
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janis Campanella
Arbitrator(s): Lucas A. Ferrara
Hearing Site: New York, NY
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| 06-03489 | 07/03/2008 | Claimant(s): Jon Nee
Claimant Lawyers(s): William K. Diehl
Respondent(s): Banc of America Investment Services Inc., Bank of America, N.A.
Respondent Lawyers(s): George C. Covington
Arbitrator(s): Don M. Bieger, James Whitaker Ballou, Celeste A. Beron
Hearing Site: Charlotte, NC
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| 06-04830 | 07/03/2008 | Claimant(s): Jose Padilla
Claimant Lawyers(s): Martin M. Berliner
Respondent(s): Michael Jones, Patrick Sutherland, Ronald Bloomingkemper, Ronald Petranovich, USA Holdings., United Securities Alliance.
Respondent Lawyers(s): Julie M. Walker, Matthew T. Covington
Arbitrator(s): Robert D. Greenlee, Gerhard L. Schopen, Craig Stanley Ralston
Hearing Site: Denver, CO
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| 07-02216 | 07/03/2008 | Claimant(s): Howe Barnes Hoefer & Arnett.
Claimant Lawyers(s): David T.B. Audley
Respondent(s): Ronald Smith
Respondent Lawyers(s): Paul J. Sussman
Arbitrator(s): Ronald A. Lavery
Hearing Site: Chicago, IL
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| 05-00529 | 07/02/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Sandra Grannum
Respondent(s): Christopher Becker
Respondent Lawyers(s): Christopher W. Becker
Arbitrator(s): Theodore Moreines, Nathan J. Minucci, Robert J. Gorgia
Hearing Site: Newark, NJ
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| 06-04968 | 07/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Sergio Negrini
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Syma S. Kasdin, Richard J. Kaplan, Norman E. Heyman
Hearing Site: Boca Raton, FL
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| 07-03439 | 07/02/2008 | Claimant(s): James Kelly
Claimant Lawyers(s): Partha P. Chattoraj
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Dennis C. Cronin, David S. Billet, Madelon M. Rosenfeld
Hearing Site: New York, NY
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