| 07-02129 | 04/24/2008 | Claimant(s): Paulson Investment Company
Claimant Lawyers(s): Emily S. Courtnage
Respondent(s): Brian Kirk
Respondent Lawyers(s): Brian L. Kirk
Arbitrator(s): O. Meredith Wilson, Nelson Olf, Burton LaVon Beahm
Hearing Site: Portland, OR
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| 06-02865 | 04/23/2008 | Claimant(s): Frank Palumbo
Claimant Lawyers(s): Scott A. Lucas
Respondent(s): Banc of America Investment Services Inc., Quick and Reilly., Bank of America N.A.a/k/a BOA Corporat, Fleet National Bank
Respondent Lawyers(s): Thomas J. Momjian
Arbitrator(s): Burton M. Fendelman, Renee La Verne Ross CFP, Alan Steven Brodherson
Hearing Site: New York, NY
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| 07-00969 | 04/22/2008 | Claimant(s): SunTrust Bank, SunTrust Investment Services.
Claimant Lawyers(s): Bradford S. Bernstein
Respondent(s): Andrew Hickey
Respondent Lawyers(s): Daniel S. Fiore
Arbitrator(s): Ida W. Draim, Nickey D. Turner, Kevin D. Judd
Hearing Site: Washington, DC
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| 07-01075 | 04/22/2008 | Claimant(s): Mark Mills
Claimant Lawyers(s): John R. Fahy
Respondent(s): Charles Gallamore, Southwest Texas Capital, L.L.C
Respondent Lawyers(s): Phillip W. Offill
Arbitrator(s): George F. Longino, Russell H Hairston, Robert R. Marquardt
Hearing Site: Dallas, TX
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| 08-00765 | 04/22/2008 | Claimant(s): RBC Capital Markets Corp.
Claimant Lawyers(s): Anne C. Patin
Respondent(s): Charles Howard
Respondent Lawyers(s): Michael C. Deutsch
Arbitrator(s): Edward Baer, James D. Yellen, Barry R. Lax
Hearing Site: New York, NY
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| 07-02552 | 04/21/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Andrea Bulow
Respondent Lawyers(s): Andrea X. Xuefen
Arbitrator(s): Douglas E. DeTata, Marlyn G. McClaskey, John Edward Bersin
Hearing Site: San Francisco, CA
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| 06-02570 | 04/18/2008 | Claimant(s): Prudential Equity Group
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Chad Johnson
Respondent Lawyers(s): Chad J. Johnson
Arbitrator(s): Charles E. Martin
Hearing Site: Dallas, TX
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| 06-04962 | 04/18/2008 | Claimant(s): John Carl
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Lewis Sanders, AllianceBernstein Investments.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Eugene F. Farabaugh, Robina Fedora Asti, Cynthia A. DiMarco
Hearing Site: New York, NY
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| 07-00359 | 04/18/2008 | Claimant(s): Caren Bass
Claimant Lawyers(s): Caren M. Bass
Respondent(s): Citigroup.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Sandra J. Mullings, Elizabeth B. Head, Bartley F. Flaherty
Hearing Site: New York, NY
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| 07-02281 | 04/18/2008 | Claimant(s): Paul Roupinian
Claimant Lawyers(s): Paul Edward Roupinian
Respondent(s): John Orr, UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer L. Nutter
Arbitrator(s): Theodore G. Bradpiece, Jerry Ellner, Steven J. Feldman
Hearing Site: Los Angeles, CA
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