| 07-03111 | 05/12/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Damien Lombardi
Respondent Lawyers(s): Damien Walter Lombardi
Arbitrator(s): Anne W. Larkin
Hearing Site: Richmond, VA
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| 06-05269 | 05/07/2008 | Claimant(s): Larry Graham
Claimant Lawyers(s): Michael D. Nosler
Respondent(s): Donny Hurwitz, Kenneth Shade, Robert Gioia, Terry Hamann, AFS Brokerage.
Respondent Lawyers(s): Donny Hurwitz, Kenneth E. Shade, Robert M. Gioia, Terry W. Hamann, Terry W. Hamman
Arbitrator(s): Roger T. Felthoven, Dominic Alecci, David Butler
Hearing Site: Denver, CO
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| 03-06938 | 05/06/2008 | Claimant(s): Carole Lane
Claimant Lawyers(s): Guy E. Mailly
Respondent(s): Clinton Maxwell, Ameriprise Financial Services., Louis Windawi
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Elizabeth A. Copley, Robert B. Moran, James M. Goldberg
Hearing Site: Los Angeles, CA
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| 07-02850 | 05/06/2008 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffrey Bacon
Respondent Lawyers(s): Jeffrey R. Bacon
Arbitrator(s): Amy Lampert, Sharon L. Monroe, Daniel J. Candura
Hearing Site: Boston, MA
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| 08-00100 | 05/06/2008 | Claimant(s): NBC Securities.
Claimant Lawyers(s): John P. Scott
Respondent(s): Melanie Purvis, William McAleer, McAleer Asset Management
Respondent Lawyers(s): J. Casey Pipes
Arbitrator(s): Perry Lee Taylor, Todd Edward Phillips, Laree Payne Kennedy
Hearing Site: Birmingham, AL
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| 07-00889 | 05/05/2008 | Claimant(s): Edward O'Brien
Claimant Lawyers(s): Robert Bertsch
Respondent(s): Citigroup Global Markets., Citicorp Investment Services, Citigroup.
Respondent Lawyers(s): Jill Rosenberg
Arbitrator(s): Michael E. Curan, J. Martin McDonough, Thomas Naylor
Hearing Site: New York, NY
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| 07-01054 | 05/05/2008 | Claimant(s): Andrea Mears
Claimant Lawyers(s): Andrea Diane Mears
Respondent(s): Bud Nicol
Respondent Lawyers(s): Stephanie L. Knott
Arbitrator(s): Linda Fairchild, Benjamin E. Fisher, Gregory L. Hess
Hearing Site: Orlando, FL
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| 07-00107 | 05/02/2008 | Claimant(s): Edward Satlin, Micah Scheinberg
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Jeffrey E. Skogsbergh, Robert Bruce MacDonald, David Nielsen
Hearing Site: Los Angeles, CA
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| 07-01618 | 05/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ryan P. Smith
Respondent(s): Roderick Brown
Respondent Lawyers(s): Roderick L. Brown
Arbitrator(s): Daniel W. Desmond, Linda A. Allen, David P. McDuffee
Hearing Site: Raleigh, NC
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| 07-00911 | 05/01/2008 | Claimant(s): C. Buonassisi
Claimant Lawyers(s): Patrick J Burns
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ben W. White
Arbitrator(s): Herb Schwartz, Colleen C. Hammer, Timothy P. Bogan
Hearing Site: San Francisco, CA
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