| 06-05125 | 10/23/2007 | Claimant(s): Morgan Stanley DW Inc., Morgan Stanley Funding Services Corp.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Daniel Silverberg
Respondent Lawyers(s): Scott F. Griffith
Arbitrator(s): Andrew W. Davitt, Peter D. Shelp, Jay F. Frascella
Hearing Site: Philadelphia, PA
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| 06-04500 | 10/22/2007 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): John R. Jacobson
Respondent(s): Timothy Forsman
Respondent Lawyers(s): Kenneth R. Jones
Arbitrator(s): David N. Burn, Allen S. Bjork, Lovella L. Richardson
Hearing Site: Nashville, TN
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| 06-05019 | 10/22/2007 | Claimant(s): Steven Rothstein
Claimant Lawyers(s): Steven A. Rothstein
Respondent(s): Ross Mandell, Sky Capital LLC
Respondent Lawyers(s): Eric Rosenberg
Arbitrator(s): Sheldon M. Pekin, Steven Samson, Michael Steinberg
Hearing Site: Chicago, IL
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| 06-05335 | 10/22/2007 | Claimant(s): Sandgrain Securities.
Claimant Lawyers(s): Robert A. Giacovas
Respondent(s): Richard Aulicino
Respondent Lawyers(s): Jessica N. Garvin
Arbitrator(s): G. Robert Abrams, Robert A. Sauerberg, Sherry Puro
Hearing Site: Boca Raton, FL
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| 07-02086 | 10/22/2007 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Carrie L. Chelko
Respondent(s): Bruce Paura
Respondent Lawyers(s): Bruce J. Paura
Arbitrator(s): Gregory L. Hess
Hearing Site: Orlando, FL
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| 06-03920 | 10/19/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald S. Kravitz
Respondent(s): David Kauffman
Respondent Lawyers(s): Matthew G. English
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Robert E. Witt
Hearing Site: San Diego, CA
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| 07-00941 | 10/19/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Liu
Respondent Lawyers(s): John Young Liu
Arbitrator(s): Mary Ann Tunick
Hearing Site: Houston, TX
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| 06-02262 | 10/18/2007 | Claimant(s): Richard Kates
Claimant Lawyers(s): James A. Batson
Respondent(s): GFI Securities LLC
Respondent Lawyers(s): David J. Clark
Arbitrator(s): Richard D. Chusid, Herbert Z. Geiger, Jay L. Zelesnick
Hearing Site: New York, NY
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| 06-05292 | 10/18/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kennth O'Connor
Respondent(s): Eric Nelson
Respondent Lawyers(s): Eric A. Nelson
Arbitrator(s): John F. Poole, Thomas L. Kennedy, John Manning Herr
Hearing Site: Boston, MA
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| 07-02021 | 10/18/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Mark Evans
Respondent Lawyers(s): Mark A. Evans
Arbitrator(s): Robert A. Fabricant
Hearing Site: Boca Raton, FL
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