| 08-01552 | 05/13/2009 | Claimant(s): Efficacy Biotech Master Fund Ltd
Claimant Lawyers(s): Andrew R. Dennington
Respondent(s): National Financial Services LLC, Fidelity Capital Markets Services
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Greta Glavis, John H. Knight, Janice L. Sperow
Hearing Site: San Diego, CA
|  | $423,634 |
| 08-01931 | 02/20/2009 | Claimant(s): Jawad N. Hammad and Deena J. Hammad, Jude J. Hammad
Claimant Lawyers(s): Jawad N. Hammad
Respondent(s): Banc of America Investment Services Inc., National Financial Services LLC
Respondent Lawyers(s): Michael G. Shannon, Russel D. Francisco
Arbitrator(s): Robert S. Plotkin, Christopher M. McMurray, Lisa Blunk Johnson
Hearing Site: Washington, DC
| | $0 |
| 07-02308 | 01/15/2009 | Claimant(s): Suzette Roth
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Harold Magill, National Financial Services LLC, The Riderwood Group Incorporated
Respondent Lawyers(s): David M. Chromy, Michael G. Shannon, Neal Brickman
Arbitrator(s): Robert J. Scafuri, Walter L. Baumgardner, Lee Hornberger
Hearing Site: Detroit, MI
| | $550,000 |
| 07-01346 | 06/17/2008 | Claimant(s): Judy Schulman and Murray Bieda
Claimant Lawyers(s): Marc A. Wites
Respondent(s): Jason Woessner, National Financial Services LLC, Scott Brooks, Stanley Brooks, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, Jason Woessner, Matthew Farley
Arbitrator(s): Lawrence M. Green, Stuart Harvey Ziegler, Edwin J. Slovitt
Hearing Site: Boca Raton, FL
| | $540,000 |
| 07-02929 | 04/08/2008 | Claimant(s): David Ni
Claimant Lawyers(s): David H Ni
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Gary T. Grassey
Arbitrator(s): Maurice R. Dunie
Hearing Site: Washington, DC
| | $88 |
