| 06-01851 | 11/15/2007 | Claimant(s): BOSC.
Claimant Lawyers(s): Erica Anne Dorwart
Respondent(s): Brinkley Farnsworth
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): John Thomas Deutsch, F. Guthrie Castle, Lawrence W. Kern
Hearing Site: Memphis, TN
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| 06-03218 | 11/15/2007 | Claimant(s): Miller Tabak + Co..
Claimant Lawyers(s): Robert P. Bramnik
Respondent(s): Israel A. Englander & Co..
Respondent Lawyers(s): Jeffrey I. Wasserman
Arbitrator(s): Charles L. Henderson, Joshua Mark Zucker, Howard L. Haykin
Hearing Site: New York, NY
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| 06-03316 | 11/15/2007 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Thomas Hicks
Respondent Lawyers(s): Greggory J. Savage
Arbitrator(s): J. Michael Coombs, Eugene R. Nielson, William Anthony Park
Hearing Site: Salt Lake City, UT
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| 06-03861 | 11/15/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Demian Betz
Respondent(s): James Tuberosa
Respondent Lawyers(s): Zachary D. Messa
Arbitrator(s): Marshal H. Emerson, Marcy R. Greer, Robert Kevin O'Mara
Hearing Site: Tampa, FL
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| 06-05077 | 11/15/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Stanislav Tolstunov
Respondent Lawyers(s): Stanislav Tolstunov
Arbitrator(s): Stewart E. Winner, Brian S. Hamburger, Henry Maringer
Hearing Site: New York, NY
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| 07-00255 | 11/15/2007 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Tara Richardson
Respondent Lawyers(s): Steven G. Wenzel
Arbitrator(s): Stephen P. Savitt, L. Matthew Byrd, Daniel B. Daugherty
Hearing Site: Tampa, FL
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| 06-03137 | 11/14/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Andrew Bryan
Respondent Lawyers(s): Andrew T. Bryan
Arbitrator(s): William J. Travis, John N. Reidy, R. Phillip Reed
Hearing Site: St. Louis, MO
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| 06-04244 | 11/14/2007 | Claimant(s): Kurt Novey
Claimant Lawyers(s): Kurt Charles Novey
Respondent(s): Katherine Moore, William Mauney, Barron Moore.
Respondent Lawyers(s): Phillip W. Offill
Arbitrator(s): Henry Hermann
Hearing Site: Dallas, TX
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| 06-04725 | 11/14/2007 | Claimant(s): Paul Ehrenstein, Paul Ehrenstein Associates.
Claimant Lawyers(s): Paul Ehrenstein
Respondent(s): Bruce Kelly, Nolan Securities Corp.
Respondent Lawyers(s): Michael E. Silverman
Arbitrator(s): Jacob Aschkenasy
Hearing Site: New York, NY
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| 06-00120 | 11/12/2007 | Claimant(s): Timothy Cappadona
Claimant Lawyers(s): Samuel L. Davis
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Sheldon M. Finkelstein, Jeffrey Alan Helewitz, Dwight Wassong
Hearing Site: Newark, NJ
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