| 06-02824 | 11/12/2007 | Claimant(s): Irving Becker
Claimant Lawyers(s): Jerome M. Selvers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen L. Palermo
Arbitrator(s): John P. Bannon, Martin A. Edelstein, Steven David Leader
Hearing Site: Newark, NJ
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| 06-04112 | 11/12/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Bret Swisher
Respondent Lawyers(s): Bret A. Swisher
Arbitrator(s): James A. Melfi, John B. Glueckert, Marc E. Henn
Hearing Site: Columbus, OH
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| 06-05331 | 11/09/2007 | Claimant(s): Christopher Allick
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Peter Fader, Urchin Capital Partners LLC
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Peter M Brabbee, Barbara M. Anscher, Osei J Adoma
Hearing Site: San Francisco, CA
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| 05-03927 | 11/08/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Walter Glass
Respondent Lawyers(s): Stephen M. Harris
Arbitrator(s): Linda L. Drummond, Joel D. Davidman, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
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| 07-01270 | 11/06/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Deborah A. Mark
Respondent(s): Bayan Alrachid
Respondent Lawyers(s): Bayan Alrachid
Arbitrator(s): Linda L. Drummond
Hearing Site: Los Angeles, CA
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| 07-01848 | 11/06/2007 | Claimant(s): Ronald Baum
Claimant Lawyers(s): Ronald Baum
Respondent(s): TD Waterhouse d/b/a TD Ameritrade
Respondent Lawyers(s): Janis Campanella
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
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| 06-05117 | 11/05/2007 | Claimant(s): Jack Shirley
Claimant Lawyers(s): Stephen Fisher
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Thomas E. Reddin
Arbitrator(s): J. Maxwell Williams, Paul Michael Secunda
Hearing Site: Little Rock, AR
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| 06-03794 | 11/02/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): David Mulford
Respondent Lawyers(s): Charles M. Dalziel
Arbitrator(s): A. Keith Logue, Sabrina Raquel Scott, Connie E. Balliet
Hearing Site: Atlanta, GA
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| 06-00895 | 11/01/2007 | Claimant(s): Debra Reda-Cappos
Claimant Lawyers(s): William Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): Michael J. Abbott, Sheryl L. Skibbe
Arbitrator(s): Howard A. Emirhanian, Salvatore A. Sciortino, Steven J. Feldman
Hearing Site: Los Angeles, CA
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| 06-03306 | 11/01/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Peter Janowsky
Respondent Lawyers(s): William A. DiConza
Arbitrator(s): Gilbert F. Bach, Robina Fedora Asti, John Murray Carroll
Hearing Site: New York, NY
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