| 07-01145 | 03/10/2008 | Claimant(s): David Castillo
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Harry B. Endsley, James Conrad Riewerts, Susan J. Alexander
Hearing Site: San Francisco, CA
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| 07-00724 | 03/07/2008 | Claimant(s): Michael Bodino, Paul Westervelt, Coker, Palmer, Phillips & Mullen.
Claimant Lawyers(s): E. Barney Robinson
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Patricia C. Diak
Arbitrator(s): Frederick S. Duncan, David T. Maddux, Kenneth I. Daniels
Hearing Site: Jackson, MS
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| 07-02787 | 03/07/2008 | Claimant(s): Lawrence Frankel
Claimant Lawyers(s): Eva H Posman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Amy M. Fritsky
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
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| 06-04597 | 03/06/2008 | Claimant(s): SunTrust Banks., SunTrust Capital Markets., SunTrust Investment Services.
Claimant Lawyers(s): David L. Balser
Respondent(s): Joshua Mazer
Respondent Lawyers(s): Foster S.B. Friedman
Arbitrator(s): Bonnie K. Wachtel, Albert D. Sturtevant
Hearing Site: Washington, DC
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| 07-00269 | 03/05/2008 | Claimant(s): Cambridge Equity Advisors., Cambridge Way.
Claimant Lawyers(s): Stanley M. Chernau
Respondent(s): Aaron Vallett, Maggie Nuzum, Michael Goldston
Respondent Lawyers(s): David Zager, Stanley M. Chernau
Arbitrator(s): Brendan E. Finucane, Ronald M. Gordon, Neil Harvey Smith
Hearing Site: Nashville, TN
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| 07-02992 | 03/04/2008 | Claimant(s): Margaret Lyon
Claimant Lawyers(s): Margaret C. Lyon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Amy M. Fritsky
Arbitrator(s): Mary Ellen Burns
Hearing Site: New York, NY
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| 06-01988 | 03/03/2008 | Claimant(s): Stuart Lantz
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kathleen M. Anderson
Arbitrator(s): Kip C. Lubcke, R. Scott Garley, Angela Lourdes Ortiz
Hearing Site: Newark, NJ
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| 06-05282 | 02/29/2008 | Claimant(s): Laura Franzese, Pat Franzese
Claimant Lawyers(s): David M. White
Respondent(s): Carlin Equities
Respondent Lawyers(s): Andrew P. Weiss
Arbitrator(s): Harvey Barrison, John J. Witkowski, Neal D. Baker
Hearing Site: New York, NY
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| 06-01760 | 02/27/2008 | Claimant(s): Esdras Vera
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): Citicorp Financial Services Corp.
Respondent Lawyers(s): Gideon Mark
Arbitrator(s): Joseph L. Bernstein, Seth L. Finkel, Rex D.K. Seymour
Hearing Site: San Juan, PR
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| 06-04120 | 02/27/2008 | Claimant(s): Genevieve Smith
Claimant Lawyers(s): Genevieve Smith
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): A. Keith Logue, Gloria J Liddell, John F. Allgood
Hearing Site: Birmingham, AL
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