| 06-00693 | 11/30/2007 | Claimant(s): David Brus, Thomas Olsson
Claimant Lawyers(s): William M. Azkoul
Respondent(s): LaSalle Financial Services.
Respondent Lawyers(s): Stephen P. Bedell
Arbitrator(s): John A. Hubbard, Norman A. Samson, Miles D. Hart
Hearing Site: Detroit, MI
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| 06-03854 | 11/30/2007 | Claimant(s): Margie Aguirre
Claimant Lawyers(s): Linda M. Deola
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Jeanne M. Bender
Arbitrator(s): Clifford N. Coury, Kevin D. Swenson, James F. Zotter
Hearing Site: Helena, MT
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| 06-02931 | 11/29/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Carmine Grillo, Charles Hubbard, Christopher Horner, Melvin Reiter, Robert Weaver, Dain Rauscher Financial Group
Respondent Lawyers(s): Carolyn Guy, Merle H. Horwitz
Arbitrator(s): Robert S. Fash, Linda J. Berberian, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 06-03677 | 11/29/2007 | Claimant(s): Lewis Goldman
Claimant Lawyers(s): Lewis Ira Goldman
Respondent(s): Eduardo Prado, Finacorp Securities
Respondent Lawyers(s): Eduardo J. Prado, Eduardo Jose Prado
Arbitrator(s): Steven A. Infante, Joseph Rudolph Guarino, Brian F Loveman
Hearing Site: New York, NY
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| 06-02806 | 11/28/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Jacobs
Respondent Lawyers(s): Michael F. Jacobs
Arbitrator(s): Cletus E. Byrne, Roger T. Felthoven, Carla B. Minckley
Hearing Site: Denver, CO
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| 06-01350 | 11/27/2007 | Claimant(s): Barbara Kesterson
Claimant Lawyers(s): John L. Hampton
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Kathleen Dedenbach
Arbitrator(s): David A. Nixon, James A. Hayes, Michael A. Kleinman
Hearing Site: Kansas City, MO
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| 06-04125 | 11/27/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Mercadante
Respondent Lawyers(s): Michael Mercadante
Arbitrator(s): James J. Brearton, Roland M. Cavalier, Ruth A. Ihne
Hearing Site: Albany, NY
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| 05-06247 | 11/26/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Dale Johnson, James Tallant, John Pennington, Keith Shahan, Morgan Stanley DW Inc., Samuel Sloane, Susan Stroud
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Simeon R. Trotter, Malcolm W. Clarrissimeaux, Ted Martin Akin
Hearing Site: Dallas, TX
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| 06-00880 | 11/26/2007 | Claimant(s): Jeffrey Carroll, UBS Financial Services Inc., Rebecca Gadus
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Sammy Gordon
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Joann Peters, Bill M. Lamoreaux, Richard A Miller
Hearing Site: Dallas, TX
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| 07-00009 | 11/26/2007 | Claimant(s): Eric Gauster
Claimant Lawyers(s): Eric Robert Gauster
Respondent(s): Citigroup Global Markets., Martin Parquette, Michael Parker
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): June Y. Kilmarx, Edward Joseph Boudreau, Joseph Charles Kennedy
Hearing Site: Boston, MA
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