| 07-01081 | 02/04/2008 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Michael Naccarato
Respondent(s): Heidi Rosenberg
Respondent Lawyers(s): Peter C. Riley
Arbitrator(s): Harold M. Golz, Bruce J. Nerland, Daniel Baruch Lidawer
Hearing Site: Des Moines, IA
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| 07-01512 | 02/01/2008 | Claimant(s): Heath Goldstein
Claimant Lawyers(s): Heath Gary Goldstein
Respondent(s): Charles Ehnot, Deborah Ehnot, 1st Financial Services, DA-E Financial Group, Ltd t/a 1st Financ
Respondent Lawyers(s): Robert Murphy
Arbitrator(s): David C. Carter
Hearing Site: Newark, NJ
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| 07-00710 | 01/31/2008 | Claimant(s): Cliff Naparsteck
Claimant Lawyers(s): Cliff Martin Naparsteck
Respondent(s): Ameriprise Financial Services., John Schoppe
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Arnold B. Galperin
Hearing Site: Boca Raton, FL
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| 07-01520 | 01/31/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Terry Vail
Respondent Lawyers(s): Terry Joe Vail
Arbitrator(s): Ronald K. Sprague
Hearing Site: Phoenix, AZ
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| 07-01950 | 01/31/2008 | Claimant(s): Kayvan Karoon
Claimant Lawyers(s): Paul A. Lieberman
Respondent(s): Joseph Fitzgerald
Respondent Lawyers(s): Joseph Fitzgerald
Arbitrator(s): Robert L. Spangler
Hearing Site: New York, NY
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| 06-04188 | 01/30/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Jeffrey Arburn
Respondent Lawyers(s): Jeffrey Arburn
Arbitrator(s): Alexander L. Mazour, Gary A. Hooker, Christopher W. Allick
Hearing Site: San Francisco, CA
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| 06-04356 | 01/30/2008 | Claimant(s): Donald Kent, Dwight Campbell, MCM Advisors Corp., et al
Claimant Lawyers(s): James D. Sallah
Respondent(s): Ernest McMullen
Respondent Lawyers(s): Andrew T. Lavin
Arbitrator(s): Lanny M. Leff, Mark A. Buckstein, Arnold Levine
Hearing Site: Boca Raton, FL
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| 06-04739 | 01/30/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Douglas D. Callaway
Respondent(s): Larry Margozewitz
Respondent Lawyers(s): Larry R. Margozewitz
Arbitrator(s): Thomas H. Griffin, Joshua D. Wallach, Leslie Bernard Jallans
Hearing Site: Houston, TX
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| 01-02943 | 01/29/2008 | Claimant(s): William Erickson
Claimant Lawyers(s): Mary B. Erickson
Respondent(s): David Komansky, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Terry E. Sanchez
Arbitrator(s): Michael D. Donahue, Charles A. Graham, Grace L. Heyne
Hearing Site: Los Angeles, CA
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| 07-00797 | 01/28/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jay Rottner
Respondent Lawyers(s): J. Steven Parker
Arbitrator(s): A. Keith Logue, T. Scott Watkins, Joan Connolly Grafstein
Hearing Site: Atlanta, GA
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