| 07-00913 | 09/25/2008 | Claimant(s): Jerry Engel
Claimant Lawyers(s): M Nelson Segel
Respondent(s): Kevin Kimberlin, William Dioguardi, Spencer Trask Ventures.
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Robert A. Lombardi
Hearing Site: Las Vegas, NV
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| 07-02590 | 09/25/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Scott Huffman
Respondent Lawyers(s): Richard M. Bales
Arbitrator(s): Marina Shank-Klein, Linda M. Granata, Thomas L. Curran
Hearing Site: Miami, FL
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| 06-04100 | 09/24/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): RBC Dain Rauscher., Scott Karpiak
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Alan J. Blocher, Catherine S. Kopley, Elena P. Anastasiou
Hearing Site: Philadelphia, PA
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| 07-02485 | 09/24/2008 | Claimant(s): Raymond Curtin
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Ned B. Young, Kimberly A. Gilmour, Charles W. Lavender
Hearing Site: Ft. Lauderdale, FL
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| 07-02676 | 09/24/2008 | Claimant(s): Sophie Rothstein
Claimant Lawyers(s): Edward Rothstein
Respondent(s): Joel Chase, UBS Financial Services Inc., Richard Fitzburgh
Respondent Lawyers(s): Dan A. Rosenbaum, Danl A. Rosenbaum
Arbitrator(s): Vicki R. Lawrence, Sandra J. Mullings
Hearing Site: New York, NY
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| 07-01135 | 09/23/2008 | Claimant(s): Ryan Beck & Co.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Arthur Ogbogu
Respondent Lawyers(s): Arthur Ogbogu
Arbitrator(s): Richard W Berenger, Joseph C. Pickard, William A. Hohauser
Hearing Site: New York, NY
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| 07-01342 | 09/23/2008 | Claimant(s): Ryan Beck & Co.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Paul Martin
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Patrick J. Howley, Ernest Edward Badway, Walter W. Jensen
Hearing Site: Newark, NJ
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| 07-01941 | 09/23/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Gary Handler
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert S. Fash, Robert Elman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
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| 07-02144 | 09/23/2008 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): Holt Harris
Respondent Lawyers(s): Holt E. Harris
Arbitrator(s): George F. Longino
Hearing Site: Dallas, TX
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| 07-02165 | 09/23/2008 | Claimant(s): Amy Levenson
Claimant Lawyers(s): Anne C. Vladeck
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Denzil J. Klippel, Richard E. Lerner, Joshua Mark Zucker
Hearing Site: New York, NY
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