| 07-01730 | 05/15/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Greg Burden
Respondent Lawyers(s): John E. Barbush
Arbitrator(s): Michael R. Prescott, Gary S. Jefferson, Michael E. Nelson
Hearing Site: Oklahoma City, OK
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| 07-02677 | 05/13/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Daniel Voss
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Bruce A. Lindvig
Hearing Site: Phoenix, AZ
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| 07-01369 | 05/12/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Hamrick
Respondent Lawyers(s): James M. Hamrick
Arbitrator(s): Eli Bensky, Dale A. Hearn, Ruth Smith Jackson
Hearing Site: Houston, TX
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| 05-06100 | 04/10/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Theodore Larsen
Respondent Lawyers(s): Theodore A. Larsen
Arbitrator(s): Stephen L. Przewlocki, Paul J. Phillips, James W. Warren
Hearing Site: Phoenix, AZ
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| 06-04423 | 03/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Simmers
Respondent Lawyers(s): David A. Sebastian
Arbitrator(s): Peter B. Kupelian, Gary C. Peters, Ann D. Kuhna
Hearing Site: Detroit, MI
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| 06-05400 | 02/22/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Rivenbark
Respondent Lawyers(s): Eric Ryan Rivenbark
Arbitrator(s): Timothy J. Wright, Michael Lloyd Weisel, Michael F. Pearl
Hearing Site: Raleigh, NC
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| 07-01315 | 02/15/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Cooper
Respondent Lawyers(s): Thomas Stephen Cooper
Arbitrator(s): Richard L. Oates, Thomas C. Moxley, Richard Lee Matthews
Hearing Site: Nashville, TN
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| 07-01001 | 02/14/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Monica Liska
Respondent Lawyers(s): Monica M. Liska
Arbitrator(s): Lee T. Beske, Christopher Daniel Gryzen, David A. Peterson
Hearing Site: Minneapolis, MN
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| 07-01520 | 01/31/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Terry Vail
Respondent Lawyers(s): Terry Joe Vail
Arbitrator(s): Ronald K. Sprague
Hearing Site: Phoenix, AZ
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| 07-00797 | 01/28/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jay Rottner
Respondent Lawyers(s): J. Steven Parker
Arbitrator(s): A. Keith Logue, T. Scott Watkins, Joan Connolly Grafstein
Hearing Site: Atlanta, GA
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