| 06-03396 | 11/01/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Carlisle Kelson
Respondent Lawyers(s): John C. Hamilton
Arbitrator(s): G. Donald Steel, Michael F. Fetsch, Tim V. Young
Hearing Site: Indianapolis, IN
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| 06-04714 | 11/01/2007 | Claimant(s): Allen Green, Donald Teboe, William Wright, A. Green Financial Group.
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Robert Cargin, Regis Securities Corporation
Respondent Lawyers(s): Robert K. Cargin
Arbitrator(s): Harvey Frank, Kenneth J. Safran, Patrick A. Guentner
Hearing Site: Detroit, MI
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| 06-05234 | 11/01/2007 | Claimant(s): Capital Growth Financial
Claimant Lawyers(s): Delmer C. Gowing
Respondent(s): Gregg Zadrozny
Respondent Lawyers(s): Gregg Thomas Zadrozny
Arbitrator(s): Sheldon I. Saitlin, David T. Adonailo, William James Russell
Hearing Site: Boca Raton, FL
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| 07-00812 | 11/01/2007 | Claimant(s): John Amon
Claimant Lawyers(s): John I. Amon
Respondent(s): Tom Moriarty, Vic Hobson, Intersecurities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Thomas W. Steed, Wayne Parker, William A. Collison
Hearing Site: Raleigh, NC
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| 04-02939 | 10/31/2007 | Claimant(s): Pro-Integrity Securities.
Claimant Lawyers(s): William Perry
Respondent(s): Jeffrey Rubin
Respondent Lawyers(s): Jeffrey S. Rubin
Arbitrator(s): James A. Mullin, Lucia A. Aschettino, W. Jeffrey Weinlandt
Hearing Site: New York, NY
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| 07-00240 | 10/31/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Lawrence Scoloveno
Respondent Lawyers(s): Lawrence D. Scoloveno
Arbitrator(s): Sandralin J. Kiss, Virginia Kali Sourlis, Stanley M. Lenkowicz
Hearing Site: Newark, NJ
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| 06-04455 | 10/30/2007 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Forrest M. Smith
Respondent(s): Lawrence Bensman
Respondent Lawyers(s): Lawrence N. Bensman
Arbitrator(s): Amy J. Wenzler
Hearing Site: Milwaukee, WI
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| 06-04911 | 10/30/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Demuynck
Respondent Lawyers(s): James Valere Demuynck
Arbitrator(s): AnnDrea M. Benson
Hearing Site: Buffalo, NY
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| 07-01810 | 10/30/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Danny Daniels
Respondent Lawyers(s): Danny Daniels
Arbitrator(s): Linda B. Kelly
Hearing Site: Dallas, TX
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| 07-00886 | 10/29/2007 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): David Mikhlin
Respondent Lawyers(s): Raymond D. Radow
Arbitrator(s): Stanley F. Meyerson, Arnold L. Goren, Marilyn J. Salzman
Hearing Site: New York, NY
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