| 07-00224 | 12/18/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Frazier
Respondent Lawyers(s): Christopher E. Frazier
Arbitrator(s): Susan M. Huffman, Jerome C. Zackroff, George H. Reeves
Hearing Site: Denver, CO
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| 07-01124 | 12/18/2007 | Claimant(s): Neil Snoep
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): J.P. Morgan Securities.
Respondent Lawyers(s): Todd A. Gutfleisch
Arbitrator(s): Gilbert F. Bach, Paul Schiffres, Michael S. Lazan
Hearing Site: New York, NY
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| 06-00479 | 12/17/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David James Smith
Respondent(s): Richard Rubin
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Thomas R. Maimone, Frank Nussbaum, Joel F. Martineau
Hearing Site: Boca Raton, FL
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| 06-00650 | 12/13/2007 | Claimant(s): Joseph Marciano, Michael Marciano
Claimant Lawyers(s): Ethan Halberstadt
Respondent(s): AXA Advisors, AXA Financial., MONY Holdings LLC, MONY Life Insurance Company, Mony Brokerage., Mony Securities Corporation, The Mony Group.
Respondent Lawyers(s): Michael J. Glasheen
Arbitrator(s): Mary Ann M. Melchiorre, Robert W. Ratti, Catherine S. Kopley
Hearing Site: Philadelphia, PA
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| 06-05353 | 12/12/2007 | Claimant(s): Dale Garnett
Claimant Lawyers(s): Julian Rainero
Respondent(s): Jon Demichiel, Endeavor Capital
Respondent Lawyers(s): Brian Guillorn
Arbitrator(s): Hilary B. Miller, Emad A. Zikry, Martin Domb
Hearing Site: New York, NY
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| 07-01786 | 12/12/2007 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Randle B. Carpenter
Respondent(s): Martin Rybak
Respondent Lawyers(s): Martin Rybak
Arbitrator(s): Brian J. Neville
Hearing Site: New York, NY
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| 07-02046 | 12/11/2007 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Carrie L. Chelko
Respondent(s): Michael Pinckes
Respondent Lawyers(s): Michael J. Pinckes
Arbitrator(s): Sandra J. Bakalus
Hearing Site: Boca Raton, FL
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| 04-08605 | 12/10/2007 | Claimant(s): James Murray
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jodi S. Cohen
Arbitrator(s): Stephen Brixey, Donald S. Simons, Mario H. Metzger
Hearing Site: Los Angeles, CA
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| 07-00943 | 12/10/2007 | Claimant(s): Ralph Falls
Claimant Lawyers(s): Stewart D. Aaron
Respondent(s): Leerink Swann & Company
Respondent Lawyers(s): Christopher B. Kaczmarek
Arbitrator(s): Neil G. Gargiulo, Madelyn A. Levy, Martin H. Zern
Hearing Site: New York, NY
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| 07-01404 | 12/10/2007 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jamie B. Kennedy
Respondent(s): Stephen Stroud
Respondent Lawyers(s): Stephen D. Stroud
Arbitrator(s): John Michael Watson
Hearing Site: Houston, TX
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