| 06-04383 | 02/12/2008 | Claimant(s): John Smith
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): John F. Fullerton
Arbitrator(s): Thomas E. Haviland, Ronald A. Sirt, Jerome Arthur Connolly
Hearing Site: Chicago, IL
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| 07-01351 | 02/12/2008 | Claimant(s): Anthony Bosco
Claimant Lawyers(s): Anthony Joseph Bosco
Respondent(s): Nationwide Investment Services Corp.
Respondent Lawyers(s): Natalie T. Furniss
Arbitrator(s): Peter L. Pointer, Harlita R. Tomlinson, Christy K. Radigan
Hearing Site: Columbus, OH
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| 07-01794 | 02/12/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Jacob Perdie
Respondent Lawyers(s): Jacob Perdie
Arbitrator(s): Michael S. Hill
Hearing Site: Boca Raton, FL
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| 06-05422 | 02/08/2008 | Claimant(s): Fiduciary Financial Services
Claimant Lawyers(s): John A. Koepke
Respondent(s): Mark Warner, The Masters., VSR Financial Services.
Respondent Lawyers(s): Jon M. Stanfield, Nathan J. Schwartz
Arbitrator(s): Marie A. Moore, Richard A Miller, Anita M. Jean
Hearing Site: Dallas, TX
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| 07-01213 | 02/08/2008 | Claimant(s): Kjersten Lazar
Claimant Lawyers(s): Jeffrey L. Wilson
Respondent(s): Catherine Galgano, Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Donald J. Rasweiler, Denzil J. Klippel, Susan C. Lushing
Hearing Site: New York, NY
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| 07-00960 | 02/07/2008 | Claimant(s): Edgar Barron
Claimant Lawyers(s): Edgar Rene Barron
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Kathleen A. Dedenbach
Arbitrator(s): John R. Main, Warren A. Forest, Benjamin E. Fisher
Hearing Site: Orlando, FL
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| 05-04568 | 02/06/2008 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Shepherd D. Tate
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Eric Seiler
Arbitrator(s): Beverly S. Gordon, Russell W. Merriman, Marshal H. Emerson
Hearing Site: Tampa, FL
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| 06-04325 | 02/06/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Greg Simon
Respondent(s): David Smith
Respondent Lawyers(s): Jessica Block
Arbitrator(s): Stephen M. Acerra, Zenon Charles Tencza, Jacqueline Marie Pierre
Hearing Site: Boston, MA
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| 02-03848 | 02/05/2008 | Claimant(s): Chaim Levin
Claimant Lawyers(s): Jeffrey Liddle
Respondent(s): GFI Securities, GFINET Inc., Inter-Dealer Brokers, Jersey Partners.
Respondent Lawyers(s): Barry Asen
Arbitrator(s): Louis H. Miron, John A. Astorina, Alan Shaw
Hearing Site: New York, NY
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| 07-01386 | 02/05/2008 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Richard Schwartz
Respondent Lawyers(s): Richard A. Schwartz
Arbitrator(s): Garrick A. Rollert
Hearing Site: Detroit, MI
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