| 05-04046 | 10/10/2007 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): James Taylor
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): Richard L. Oates, E. Steve Scales, Lori Beth Kamen
Hearing Site: Memphis, TN
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| 06-01929 | 10/10/2007 | Claimant(s): William Spina
Claimant Lawyers(s): William Joseph Spina
Respondent(s): Jerome Spina, Teton Partners
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): Joseph A. Cichon, Deborah B. Haskell, Maura Lenore Tomaszewski
Hearing Site: Boston, MA
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| 06-04092 | 10/10/2007 | Claimant(s): Mark Brittan
Claimant Lawyers(s): Edward F. Pohren
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Richard M. Duxbury, Michael R. Wendel, Frederick S. Cassman
Hearing Site: Omaha, NE
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| 07-00579 | 10/10/2007 | Claimant(s): Jeffrey Feist
Claimant Lawyers(s): Jeffrey L. Feist
Respondent(s): Fiserv Securities.
Respondent Lawyers(s): Michael N. Gordan
Arbitrator(s): Melvin S. Slade
Hearing Site: New York, NY
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| 05-04863 | 10/09/2007 | Claimant(s): Anne McCarver
Claimant Lawyers(s): Catherine A. Sammartino
Respondent(s): Brian Katz, Citigroup Global Markets., Joseph DeNeault
Respondent Lawyers(s): Sarah G. Kim
Arbitrator(s): Ronald L. Cheney, John Klinetob, Jeffrey L. Levy
Hearing Site: Providence, RI
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| 06-02555 | 10/05/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Del Toro
Respondent Lawyers(s): Mark L. Del Toro
Arbitrator(s): Dolores M Martin, Henry Hermann, Raul Antonio Canez
Hearing Site: Dallas, TX
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| 06-04378 | 10/05/2007 | Claimant(s): Robert Hoffman
Claimant Lawyers(s): David A. Zisser
Respondent(s): Mark Uselton, Stephen Boruchin, Legacy Trading Co.
Respondent Lawyers(s): Charles E. Wetsel, Stephen P. Boruchin
Arbitrator(s): Darla J. Goodrich, Mary Day Smelser, David William Lopp
Hearing Site: Oklahoma City, OK
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| 05-05965 | 10/04/2007 | Claimant(s): Christopher Fulco
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Daniel P. Lund, Thomas F. Fox, James McCaffrey
Hearing Site: New York, NY
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| 06-03661 | 10/04/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., A.G. Edwards & Sons., Victor DiVietro
Respondent Lawyers(s): Marc S. Dobin, Maria V. Martin
Arbitrator(s): Colleen Grace, Martin Salzman, John Hughes Verchot
Hearing Site: Tampa, FL
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| 06-03674 | 10/04/2007 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): A.G. Edwards & Sons., Victor DiVietro
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s):
Hearing Site: Tampa, FL
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