| 07-02035 | 01/07/2008 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Randle B. Carpenter
Respondent(s): James Rossi
Respondent Lawyers(s): James David Rossi
Arbitrator(s): W. Jeffrey Weinlandt
Hearing Site: New York, NY
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| 06-02135 | 01/03/2008 | Claimant(s): Steven Nadler
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): J.J.B. Hilliard, W.L. Lyons, PNC Investment
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Mark D. Quinn, Susan E. Harkins, Robert Philip Mather
Hearing Site: Newark, NJ
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| 06-02188 | 01/02/2008 | Claimant(s): Francis McDonough
Claimant Lawyers(s): Robert S. Whitman
Respondent(s): W.H. Reaves & Co..
Respondent Lawyers(s): Thomas P. Lane
Arbitrator(s): Herbert Siegel, Richard S. Peskin, Joseph F. Grassi
Hearing Site: New York, NY
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| 06-02790 | 01/02/2008 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Lynda Findlay
Respondent Lawyers(s): Lynda Ann Findlay-Scott
Arbitrator(s): Cary Allen, George A. Sawyer, David George McCabe
Hearing Site: Memphis, TN
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| 07-01754 | 01/02/2008 | Claimant(s): Sterling Financial Investment Group
Claimant Lawyers(s): Joshua Bleil
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Sherryll Martens Dunaj
Arbitrator(s): Michael S. Hill, Coletta L. Dorado, Rosemary E. Desmond
Hearing Site: Boca Raton, FL
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| 07-01028 | 12/31/2007 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Richard Paganelli
Respondent Lawyers(s): Richard J. Paganelli
Arbitrator(s): Peter Schneider, Catherine R. McClellan, Kenneth I. Daniels
Hearing Site: Atlanta, GA
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| 05-06503 | 12/28/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jennifer Woods-Burke
Respondent(s): Michael Friedman
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Vicki Z. Holleman, Robert Manfredo, Linda S. Cole
Hearing Site: New York, NY
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| 07-01250 | 12/28/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Joseph Kenna
Respondent Lawyers(s): J. Pat Sadler
Arbitrator(s): Royce Alan Burns, Patrick L. Bellantoni, Arthur Thomas Stephenson
Hearing Site: Atlanta, GA
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| 07-00423 | 12/27/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Brian Laughlin, Stifel, Nicolaus & Co.., Dennis Laughlin, Eugene McCarthy, James Potter
Respondent Lawyers(s): Marc S. Dobin, Shepherd D. Tate
Arbitrator(s): Terry G. Cleaves, Susan Jefferbaum Beck, Cindy L. Anderson
Hearing Site: Orlando, FL
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| 07-00723 | 12/27/2007 | Claimant(s): John Pennachio, Mark Wells, High Mark Associates., High Mark Insurance and Financial, High Mark Securities.
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Marshall H. Lichtenstein, Robert N. Leitch, Patrick Emery Longan
Hearing Site: Atlanta, GA
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