| 08-01203 | 11/10/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Maurice
Respondent Lawyers(s): James Kenneth Maurice
Arbitrator(s): Roger D. Johnson
Hearing Site: Des Moines, IA
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| 07-02565 | 09/15/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Kret
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Carmen P. Michelotti, Gary D. Krueger, James A. Murphy
Hearing Site: Chicago, IL
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| 08-00328 | 09/09/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Rexrode
Respondent Lawyers(s): William T. Rexrode
Arbitrator(s): Dale A. Hearn, Walter F. Schleyer, Ruth Smith Jackson
Hearing Site: Houston, TX
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| 06-05408 | 07/31/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Andy James
Respondent Lawyers(s): Armand Salese
Arbitrator(s): Richard B. Bequette, George N. Roy, Allan D. Breyer
Hearing Site: Phoenix, AZ
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| 07-02466 | 07/17/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Sherrick
Respondent Lawyers(s): Joseph J. Sherrick
Arbitrator(s): Bonnie K. Wachtel, Donald R. Giacomelli, Stephanie Wagner Ketchum
Hearing Site: Baltimore, MD
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| 07-01940 | 06/19/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Freedman
Respondent Lawyers(s): Kenneth D. Freedman
Arbitrator(s): Frank F. Foys, Robert W. Edler, Richard A. Van Kalker
Hearing Site: Chicago, IL
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| 07-01872 | 06/13/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gary Compton
Respondent Lawyers(s): Gary R. Compton
Arbitrator(s): John J. Muldowney, Sidney L. Sussman, Glenn H. Catalano
Hearing Site: Norfolk, VA
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| 07-01107 | 06/05/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gilberta Dorsey
Respondent Lawyers(s): Anthony B. Cameron
Arbitrator(s): Thomas J. McAllister, William Stark Port, Matthew R. Salamon
Hearing Site: St. Louis, MO
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| 07-01596 | 05/27/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brent Lemons
Respondent Lawyers(s): Brent Lemons
Arbitrator(s): R. Dan Mitchell, Simeon R. Trotter, George F. Longino
Hearing Site: Dallas, TX
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| 05-05634 | 05/15/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Hernandez
Respondent Lawyers(s): Jeanette H. Tejada
Arbitrator(s): James S. Goddard, Jodi A. Hopkinson, Frank Masi
Hearing Site: Newark, NJ
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