| 07-00352 | 02/20/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Crystal Steele
Respondent Lawyers(s): Crystal Steele
Arbitrator(s): Walton L. Huff, Leslie Bernard Jallans, Stacey L. Barnes
Hearing Site: Houston, TX
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| 05-05660 | 02/19/2008 | Claimant(s): AIG Financial Advisors.
Claimant Lawyers(s): Abby Henig
Respondent(s): Allen Darby
Respondent Lawyers(s): John F. Hanzel
Arbitrator(s): David P. McDuffee, John D. Robb, Michael C. Wittenberg, CPF, CLU, ChFC
Hearing Site: Charlotte, NC
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| 06-04146 | 02/19/2008 | Claimant(s): Victor Silano
Claimant Lawyers(s): Laurent S. Drogin
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Thomas E. Duggan, David R. Bolnick, Michael L. Moran
Hearing Site: New York, NY
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| 07-00970 | 02/15/2008 | Claimant(s): Kevin Doss
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Roger W. Van Deusen, James A. Laurenson, Blanca E. Ortiz
Hearing Site: Cleveland, OH
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| 07-01315 | 02/15/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Cooper
Respondent Lawyers(s): Thomas Stephen Cooper
Arbitrator(s): Richard L. Oates, Thomas C. Moxley, Richard Lee Matthews
Hearing Site: Nashville, TN
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| 06-02146 | 02/14/2008 | Claimant(s): Stifel, Nicolaus & Co.., Frank Whiteside, Robert Andresen, Stephen Jusick
Claimant Lawyers(s): Jeffrey J. Kalinowski, Robert Novack
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Scott J. Vold
Arbitrator(s): Robert S. Getman, Simone A. Muscarnera, Paul R. Walsh
Hearing Site: Newark, NJ
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| 07-01001 | 02/14/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Monica Liska
Respondent Lawyers(s): Monica M. Liska
Arbitrator(s): Lee T. Beske, Christopher Daniel Gryzen, David A. Peterson
Hearing Site: Minneapolis, MN
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| 07-01189 | 02/14/2008 | Claimant(s): Lisa Lindley
Claimant Lawyers(s): B. Scott Whipple
Respondent(s): Strand, Atkinson, Williams & York
Respondent Lawyers(s): Todd A. Hanchett
Arbitrator(s): Gary N. Hardiman, Keith C. Folkman, Gary F. Purpura
Hearing Site: Portland, OR
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| 05-04806 | 02/13/2008 | Claimant(s): Richard Maclennan
Claimant Lawyers(s): Jeffrey M. Sklarz
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Robert A. Buhlman
Arbitrator(s): Jane S. McMahon, William C. Freitag, Brian J. Dunn
Hearing Site: Hartford, CT
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| 07-00183 | 02/13/2008 | Claimant(s): Richard Maclennan
Claimant Lawyers(s): Jeffrey R Hellman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jessica S. Boar
Arbitrator(s):
Hearing Site: Hartford, CT
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