| 06-01050 | 11/19/2007 | Claimant(s): Richard Crockett
Claimant Lawyers(s): Peter H. Cantwell
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Steven B. Varick
Arbitrator(s): Wallace H. Hastings, Allen D. Schwartz, James M. Zilinsky
Hearing Site: Chicago, IL
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| 06-04797 | 11/19/2007 | Claimant(s): Thomas Quigley
Claimant Lawyers(s): Oren Giskan
Respondent(s): BNY Brokerage LLC
Respondent Lawyers(s): Robert Piliero
Arbitrator(s): Eugene M. Kaufman, Diane Ciccone, Daniel P. Lund
Hearing Site: New York, NY
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| 04-00850 | 11/16/2007 | Claimant(s): Dane Faber
Claimant Lawyers(s): Phyllis E. Andelin
Respondent(s): Carl Martellaro, First Securities USA., C. Martellaro TTEE First Securities
Respondent Lawyers(s): H Thomas Fehn, Ken Baker
Arbitrator(s): Laura Effel, Jeffrey M. Allen, Joseph M. O'Connor
Hearing Site: San Francisco, CA
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| 05-00185 | 11/16/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Brian C. Free
Respondent(s): Donald Popkes
Respondent Lawyers(s): Donald L. Popkes
Arbitrator(s): Milton C. Bennett
Hearing Site: Los Angeles, CA
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| 07-00450 | 11/16/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): James Bell
Respondent Lawyers(s): Walter Jefferson
Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Joshua D. Wallach
Hearing Site: Houston, TX
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| 07-01321 | 11/16/2007 | Claimant(s): Harris Investor Services.
Claimant Lawyers(s): Cindy S. Stuyvesant
Respondent(s): Ryan Connelly, Steven Zimmerman
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Marc B. Horin, David G. Duggan, James A. Murphy
Hearing Site: Chicago, IL
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| 07-01462 | 11/16/2007 | Claimant(s): Pointe Capital.
Claimant Lawyers(s): Daniel R Levene
Respondent(s): Craig Redding
Respondent Lawyers(s): Craig Steven Redding
Arbitrator(s): Matthew Loguercio
Hearing Site: New York, NY
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| 07-01644 | 11/16/2007 | Claimant(s): Joseph Padilla
Claimant Lawyers(s): Irving M. Einhorn
Respondent(s): Empire Financial Group.
Respondent Lawyers(s): Gary A. Klein
Arbitrator(s): Luther Delano Prater, David Maurer, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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| 03-03218 | 11/15/2007 | Claimant(s): Anthony Toran
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Anthony Toran Jr., Prudential Equity Group
Respondent Lawyers(s): Christopher Lewis, Stephen B. Wexler
Arbitrator(s): Marion Yuen, Mitchell Jay Bayer, Ellen R. Badinelli
Hearing Site: New York, NY
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| 05-01121 | 11/15/2007 | Claimant(s): Gailene Sarbak
Claimant Lawyers(s): John H Norton
Respondent(s): Bhikku Pai, Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Saverio J. Cina, James R. Greene, Lowell D. Johnston
Hearing Site: Newark, NJ
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