| 08-02086 | 07/01/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Peter Dolan
Respondent Lawyers(s): Robert A. Boncore
Arbitrator(s): Dallas Whitney Coffman, Stephen Z. Frank, John Joseph Cotter
Hearing Site: Boston, MA
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| 08-00447 | 06/26/2009 | Claimant(s): Samuel McDonald
Claimant Lawyers(s): Sam McDonald
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Maurice J. Skoler, Thomas H. Tucker, Leon E. Byng
Hearing Site: Boston, MA
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| 08-02018 | 04/16/2009 | Claimant(s): Holly Angell Hardman, Trustee
Claimant Lawyers(s): Ari J. Hoffman
Respondent(s): Arthur Grossbard, Royal Alliance Associates.
Respondent Lawyers(s): Thomas M. Campbell
Arbitrator(s): June Y. Kilmarx, Howard M. Miller, Peter Svorinic
Hearing Site: Boston, MA
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| 07-03221 | 03/18/2009 | Claimant(s): Michael Vanin
Claimant Lawyers(s): Valerie S. Carter
Respondent(s): Wachovia Securities, Prudential Equity Group
Respondent Lawyers(s): Barry J. Miller, Thomas J. Kavaler
Arbitrator(s): Gerald H. Powers, Patricia Gatto Hechavarria, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
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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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| 06-02488 | 02/11/2009 | Claimant(s): Metropolitan Life Insurance Company
Claimant Lawyers(s): Michael J. Sheehan
Respondent(s): Adam Sherman, Brian Doherty, Daniel Curran, Erich Ingram, John Murray, Mitchell Doren, Richard Gilman, Robert Murphy, Thomas Curran, William Cratty, William LeClair, Park Avenue Securities LLC
Respondent Lawyers(s): John Murray, Robert A. Fisher, Terrence P. Canade
Arbitrator(s): Lewis S. Kurlantzick, June Y. Kilmarx, C. Henry Lucas
Hearing Site: Boston, MA
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| 07-03246 | 02/09/2009 | Claimant(s): Roger Coyle
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Gerald H. Powers, John Joseph Cotter, Zenon Charles Tencza
Hearing Site: Boston, MA
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| 08-00733 | 02/05/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David Ward
Respondent(s): Timothy McNamara
Respondent Lawyers(s): Roger S. Davis
Arbitrator(s): Sandor I. Rabkin, Dennis M. Cronin, Charles A. Goglia
Hearing Site: Boston, MA
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| 08-00941 | 01/07/2009 | Claimant(s): Peter Doran
Claimant Lawyers(s): Peter Doran
Respondent(s): Ameriprise Financial Services., Richard Hagopian
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Thomas J. Donoghue
Hearing Site: Boston, MA
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| 07-01194 | 11/06/2008 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): David Fowler, Donna Furgal, Eric Wasson, NEXT Financial Group.
Respondent Lawyers(s): Ami Shah
Arbitrator(s): Marilyn H. Zuckerman, Laura M. Nelson, Alan Harry Roth
Hearing Site: Boston, MA
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