| 06-04161 | 11/15/2007 | Claimant(s): May Slover
Claimant Lawyers(s): Michael A. Dias
Respondent(s): Bryan Farris, Detroy Womack, Raymond James Financial Services., Richard McDowell, Timothy Lacey
Respondent Lawyers(s): Bryan D. Farris, Kelli Bullington, Richard S. McDowell
Arbitrator(s): Frederick N. Bailard, Ralph B. Perry, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
|  | $8,300 |
| 05-02132 | 11/14/2007 | Claimant(s): Harvey R. (Dick) & Kazuko Kagosoff, JT
Claimant Lawyers(s): Patrick L. Lund
Respondent(s): Wells Fargo Investments, Douglas Ivan, Wells Fargo Securities
Respondent Lawyers(s): Andrea H. Henningsen
Arbitrator(s): Philip W. Burge, Edward A. Trabin, Thomas A. Culbertson
Hearing Site: Los Angeles, CA
| | $0 |
| 06-04176 | 11/14/2007 | Claimant(s): Anne McDowell, Joseph Richter
Claimant Lawyers(s): Joseph M. Richter
Respondent(s): Morgan Stanley DW Inc., Lydia Hopps
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Robert D. Sussin, Gerald F. Corrigan, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00417 | 11/12/2007 | Claimant(s): Elizabeth Bondoc
Claimant Lawyers(s): Neda Ataie
Respondent(s): Wachovia Securities, Stephen Wilson
Respondent Lawyers(s): Peter Brown Dolan, Ryan P. Smith
Arbitrator(s): William E. Winfield, Troy C. Sumrall, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $13,713 |
| 07-01413 | 11/09/2007 | Claimant(s): New Castle Financial Services LLC
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Joel Zubaid
Respondent Lawyers(s): Joel Zubaid
Arbitrator(s): Janice A. Salter
Hearing Site: Los Angeles, CA
| | $0 |
| 05-03927 | 11/08/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Walter Glass
Respondent Lawyers(s): Stephen M. Harris
Arbitrator(s): Linda L. Drummond, Joel D. Davidman, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | |
| 07-01270 | 11/06/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Deborah A. Mark
Respondent(s): Bayan Alrachid
Respondent Lawyers(s): Bayan Alrachid
Arbitrator(s): Linda L. Drummond
Hearing Site: Los Angeles, CA
| | |
| 07-00804 | 11/02/2007 | Claimant(s): Scottrade.
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): Andy Nguyen
Respondent Lawyers(s): Andy Nguyen
Arbitrator(s): Laurie J. Butler
Hearing Site: Los Angeles, CA
| | $0 |
| 06-00895 | 11/01/2007 | Claimant(s): Debra Reda-Cappos
Claimant Lawyers(s): William Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): Michael J. Abbott, Sheryl L. Skibbe
Arbitrator(s): Howard A. Emirhanian, Salvatore A. Sciortino, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
| 05-04618 | 10/31/2007 | Claimant(s): Donna Perlmutter, Jona Perlmutter, Perlmutter Family Trust
Claimant Lawyers(s): Loren J. Beck
Respondent(s): Roth Capital Partners
Respondent Lawyers(s): Momo E. Takahashi
Arbitrator(s): J. Jean Elliott, Thomas A. Culbertson, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $93,681 |
