| 07-01107 | 06/05/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gilberta Dorsey
Respondent Lawyers(s): Anthony B. Cameron
Arbitrator(s): Thomas J. McAllister, William Stark Port, Matthew R. Salamon
Hearing Site: St. Louis, MO
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| 07-01447 | 06/04/2008 | Claimant(s): William Buechler
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Wachovia Securities, Wachovia Corporation
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Guenter S. Cohn, Anatoly "Tony" Zuban, Duane Ted Wolfe
Hearing Site: San Diego, CA
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| 07-02955 | 06/03/2008 | Claimant(s): Valentine Valuca
Claimant Lawyers(s): Valentine Valuca
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Reid R. Broda
Arbitrator(s): J. Martin McDonough
Hearing Site: New York, NY
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| 06-05141 | 06/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lisett DiDonato-Young
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Laurent C. Vonderweidt, Barton J. Brewer, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
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| 07-00951 | 05/29/2008 | Claimant(s): Douglas Habryl
Claimant Lawyers(s): Jeffrey R. Singer
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): James G. Cooper, Martha Failing, James P. Hoefling
Hearing Site: Houston, TX
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| 07-03339 | 05/29/2008 | Claimant(s): Vision Securities Inc.
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Lewis Franklin
Respondent Lawyers(s): Lewis Joseph Franklin
Arbitrator(s): David T. Maddux
Hearing Site: Nashville, TN
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| 07-00542 | 05/28/2008 | Claimant(s): Andrew Haas
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael D. Schissel
Arbitrator(s): Victoria E. Johnson, Tina L. Mitchell, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
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| 07-03156 | 05/28/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Joel Small
Respondent Lawyers(s): Joel Small
Arbitrator(s): Bonnie K. Wachtel, Daniel T. McHugh, Bonnie Dale King-Rose
Hearing Site: Baltimore, MD
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| 07-01596 | 05/27/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brent Lemons
Respondent Lawyers(s): Brent Lemons
Arbitrator(s): R. Dan Mitchell, Simeon R. Trotter, George F. Longino
Hearing Site: Dallas, TX
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| 06-04186 | 05/23/2008 | Claimant(s): James Sarkauskas, Brokers Turn.
Claimant Lawyers(s): Jeffrey J. Scott
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Matthew J. Smith
Arbitrator(s): Robert F. O'Keef, James P. O'Donnell, Richard C. Ninneman
Hearing Site: Milwaukee, WI
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