| 05-01488 | 10/26/2007 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Anthony DeMarco
Respondent Lawyers(s): Grover S. Parnell
Arbitrator(s): Sandor I. Rabkin, Allan E. Johnson
Hearing Site: Boston, MA
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| 06-01430 | 10/26/2007 | Claimant(s): Anthony Tango
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Harry D. Frisch, Joseph B. Russell, Howard W. Hirschhorn
Hearing Site: Newark, NJ
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| 06-04810 | 10/26/2007 | Claimant(s): Matthew Mullane
Claimant Lawyers(s): Daniel S. Newman
Respondent(s): Tower Square Securities.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): David H. S. Commins
Hearing Site: San Francisco, CA
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| 07-00265 | 10/26/2007 | Claimant(s): Heather Asbell
Claimant Lawyers(s): Jonathan Jackson Pledger
Respondent(s): W. O'Rear, Woodbury Financial Services.
Respondent Lawyers(s): Jane Crisp, Paul A. Fischer
Arbitrator(s): John C. West
Hearing Site: Nashville, TN
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| 07-00510 | 10/26/2007 | Claimant(s): Eddie Miller
Claimant Lawyers(s): Eddie Lee Miller
Respondent(s): PNC Investments
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Lawrence Reginald Wagner, Gary P. Price, Jan M. West
Hearing Site: Louisville, KY
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| 01-03420 | 10/25/2007 | Claimant(s): Money Concepts Capital Corporation, Money Concepts International.
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Mamdoh Abas, ProEquities.
Respondent Lawyers(s): Mark Abas, Peter E. Romo
Arbitrator(s): Howard A. Emirhanian, Herbert Murez, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
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| 06-05318 | 10/25/2007 | Claimant(s): Ann Serrato
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Jerry H. Friedland, Richard I. Topus, Barbara Mark-Dreyfuss
Hearing Site: Phoenix, AZ
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| 06-04496 | 10/24/2007 | Claimant(s): Henry Stockman
Claimant Lawyers(s): William M. Ziering
Respondent(s): Bear, Stearns & Co. Inc.
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Paul F. Faberman, Kathryn J. Toronto, Homer L. Davis
Hearing Site: San Francisco, CA
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| 06-04998 | 10/24/2007 | Claimant(s): Richard Streisfeld
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Michael Ross, Sherri L. Hughes, Lawrence J. Roth
Hearing Site: New York, NY
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| 07-01570 | 10/24/2007 | Claimant(s): Oleg Bychkov
Claimant Lawyers(s): Oleg Bychkow
Respondent(s): Frank Monte
Respondent Lawyers(s): Frank Rocco Monte
Arbitrator(s): Maria C. Hermida
Hearing Site: New York, NY
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