| 07-00713 | 11/21/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Donald Relyea
Respondent Lawyers(s): Donald H. Relyea
Arbitrator(s): Henry Hermann, Ronald G. Johnson, Terry Landry
Hearing Site: Dallas, TX
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| 07-00904 | 11/21/2007 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): John Craine
Respondent Lawyers(s): John Edwin Craine
Arbitrator(s): Patrick J. Burley, Marc E. Henn, Al P. Lawing
Hearing Site: Louisville, KY
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| 07-00983 | 11/21/2007 | Claimant(s): American Capital Partners
Claimant Lawyers(s): Christopher Albanese
Respondent(s): Douglas Costabile
Respondent Lawyers(s): George C. Vlachos
Arbitrator(s): Paul A. Merolla, Peter J. Kenny, David J. Pine
Hearing Site: New York, NY
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| 07-01734 | 11/21/2007 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Gregg Iezza
Respondent Lawyers(s): Gregg Thomas Iezza
Arbitrator(s): Laura M. Nelson
Hearing Site: Boston, MA
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| 05-01209 | 11/20/2007 | Claimant(s): Tania Appell
Claimant Lawyers(s): Debra A. Opri
Respondent(s): John Lee, A.G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Harris E. Kershnar, J. Jean Elliott, Michael Charles Doland
Hearing Site: Los Angeles, CA
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| 06-03345 | 11/20/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Winemiller
Respondent Lawyers(s): Paul Forrest Craig
Arbitrator(s): Richard L. Oates, David George McCabe, Scott E. Ferguson
Hearing Site: Memphis, TN
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| 06-03545 | 11/20/2007 | Claimant(s): Martin Braam
Claimant Lawyers(s): Martin E. Braam
Respondent(s): John Fioretti, GCO Services f/k/a Gruntal & Co.
Respondent Lawyers(s): John Fioretti
Arbitrator(s): Mary Ann M. Melchiorre, Sheldon Seligsohn, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
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| 06-05258 | 11/20/2007 | Claimant(s): Michael Gabisch
Claimant Lawyers(s): Michael J. Gabisch
Respondent(s): William Blair and Company L.L.C.
Respondent Lawyers(s): Philip M. Goldberg
Arbitrator(s): Theodore L. Leeb, Carol McHugh Sanders, Thomas H. Stone
Hearing Site: Chicago, IL
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| 07-01773 | 11/20/2007 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Randle B. Carpenter
Respondent(s): Jorge Ferreira
Respondent Lawyers(s): Jorge C. Ferreira
Arbitrator(s): Berton Seltzberg
Hearing Site: New York, NY
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| 06-00492 | 11/19/2007 | Claimant(s): Austin, Hatch & Smith
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Elizabeth Jones, Susan Simon
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Marilyn J. Salzman, Alan R. Sloate, Sheila D. Collins
Hearing Site: New York, NY
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