| 07-02460 | 10/04/2007 | Claimant(s): Andrea Costello, Bryan Keane, David Shove, Gregg Kennedy, Howard Penney, James Bishop, James Lucier, James Reddington, Jason Gammel, John Tumazos, Katherine Styponias, Kevin Coleman, Kevin De Thomas, Lawrence Demaria, Lynne Theurer, Mark Kennedy, Mark Lipacis, Matthew Park, Nicholas Heymann, Richard Klugman, et al
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Janet A. Beer
Arbitrator(s): Larry A. Kimmel, Cheryl Feldman, Thomas M. Amadio
Hearing Site: New York, NY
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| 06-02862 | 10/03/2007 | Claimant(s): Jacob Niremberg
Claimant Lawyers(s): Isaac Schlesinger
Respondent(s): NYLife Securities LLC, George Gordon
Respondent Lawyers(s): Christopher S. Rooney
Arbitrator(s): Norman B. Arnoff, Mary Ellen Burns, Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 06-03042 | 10/03/2007 | Claimant(s): Kenneth Merwin
Claimant Lawyers(s): Kenneth Jeffrey Merwin
Respondent(s): Dennis Breitenstein
Respondent Lawyers(s): Dennis Lee Breitenstein
Arbitrator(s): James M. Shaker, Judith A. Cochrane, Lisa E. Schuchman
Hearing Site: Seattle, WA
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| 06-04380 | 10/03/2007 | Claimant(s): Charlotte Lowe, Patrick Lowe
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Gerald A. Koris, Dawn M. Kirchner, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 05-00899 | 10/02/2007 | Claimant(s): Midsouth Capital.
Claimant Lawyers(s): Thomas R. Todd
Respondent(s): Roger Faubel, Dow Financial Services.
Respondent Lawyers(s): James L. Messenger
Arbitrator(s): Robert Rapp
Hearing Site: Cleveland, OH
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| 06-00871 | 09/28/2007 | Claimant(s): Peter Martin
Claimant Lawyers(s): Richard W. Kearney
Respondent(s): Columbia Funds Distributors., Columbia Management Group.
Respondent Lawyers(s): Mark W. Batten
Arbitrator(s): Maurice J. Skoler, Margaret Crouse Skelly, Lee McHarg Holland
Hearing Site: Boston, MA
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| 07-00621 | 09/28/2007 | Claimant(s): La Salle St. Securities, L.L.C.
Claimant Lawyers(s): Stephen B. Diamond
Respondent(s): Morris Weisner
Respondent Lawyers(s): Morris C. Weisner
Arbitrator(s): Anne W. Larkin
Hearing Site: Raleigh, NC
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| 06-03280 | 09/27/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Billy Cowan
Respondent Lawyers(s): Joseph J. Hroch
Arbitrator(s): Theron L. Vanlandingham, Margaret C. Kerr, David William Lopp
Hearing Site: Oklahoma City, OK
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| 07-00996 | 09/26/2007 | Claimant(s): Mark Mothner
Claimant Lawyers(s): Debora A. Pitman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carol B. Trask
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
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| 06-04609 | 09/25/2007 | Claimant(s): Mary Ann White
Claimant Lawyers(s): Patricia A. Washienko
Respondent(s): Peter Fader, Urchin Capital Partners
Respondent Lawyers(s): James S. Rollins
Arbitrator(s): Tom L. Peterson, John F. Poole, Melinda S. Milberg
Hearing Site: Boston, MA
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