| 07-02068 | 04/15/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Javier Aviles, Banc of America Investment Services Inc.
Respondent Lawyers(s): David Brodie, Peter J. Aldrich
Arbitrator(s): David P. Slater, Mauricio Arcadier, Dorothy N. Johnson
Hearing Site: Boca Raton, FL
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| 08-01829 | 03/30/2009 | Claimant(s): Armodios Papagianakis
Claimant Lawyers(s): Armodios N. Papagianakis
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Russel D. Francisco
Arbitrator(s): John B. Sprung
Hearing Site: New York, NY
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| 07-03023 | 03/26/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Brennan
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Thomas J. McAllister, Jerry M. Deters, Heath O. Lauseng
Hearing Site: St. Louis, MO
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| 07-00345 | 03/10/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Warren Rockmacher
Respondent Lawyers(s): Warren M. Rockmacher
Arbitrator(s): Mark D. Quinn, Charles L. Henderson, Allan N. Taffet
Hearing Site: New York, NY
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| 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
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| 06-04114 | 02/19/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Holway
Respondent Lawyers(s): Peter H. Noone
Arbitrator(s): J. David Crawford
Hearing Site: Boston, MA
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| 08-00520 | 02/06/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David Smith
Respondent(s): Vincent Monaco
Respondent Lawyers(s): Vincent M. Monaco
Arbitrator(s): Gerald A. Guild, J. Kenneth Lyons, Richard V. Adams
Hearing Site: Newark, NJ
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| 08-00911 | 02/04/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Ladd Aliff
Respondent Lawyers(s): Lawrence Duffy
Arbitrator(s): Ralph H. Emer, Richard E. Conner, Robert J. Saex
Hearing Site: Boca Raton, FL
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| 08-02191 | 01/27/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jennifer Johnston
Respondent Lawyers(s): Jennifer S. Johnston
Arbitrator(s): Mary Curran
Hearing Site: Seattle, WA
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| 08-01312 | 01/23/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jeremiah Smith
Respondent Lawyers(s): Jeremiah L. Smith
Arbitrator(s): Robert S. Fash, Kenneth I. Rosenblum, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
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