| 07-03084 | 04/17/2008 | Claimant(s): Lee Tower
Claimant Lawyers(s): Lee W Tower
Respondent(s): Aldo Lozano, Wachovia Securities, David Altshuler, Mark Panfil
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
|  | $213 |
| 07-01821 | 04/16/2008 | Claimant(s): Dawne Ferland
Claimant Lawyers(s): Theresa M. Mohan
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nancy Anderson Tayborn
Arbitrator(s): Bill Swinford, Christy C. Walker, Debora A. Caley
Hearing Site: Cincinnati, OH
| | |
| 07-03178 | 04/16/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David Pool
Respondent Lawyers(s): David Pool
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
| | $0 |
| 07-03180 | 04/16/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Joshua Levine
Respondent Lawyers(s): Joshua Levine
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $0 |
| 07-03181 | 04/16/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Alan Levande
Respondent Lawyers(s): Alan Levande
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 07-03191 | 04/16/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Tony Cheng
Respondent Lawyers(s): Tony Cheng
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | $0 |
| 07-01361 | 04/15/2008 | Claimant(s): Sheila Segrest, Sheila Segrest as next friend of Anna Br
Claimant Lawyers(s): Leah O. Taylor
Respondent(s): Ann Holman, Maxine Chappell, Raymond James Financial Services., Raymond, James & Associates., AIG SunAmerica Life Assurance Co., Chappell & Holman Financial Advisors, In
Respondent Lawyers(s): Bruce W. Barnes, Joseph L. Larrinaga
Arbitrator(s): Lita S Menkin, Todd Edward Phillips, Daniel T. Hull
Hearing Site: Birmingham, AL
| | $36,917 |
| 07-00688 | 04/15/2008 | Claimant(s): Carl Spradlin, Joy Spradlin, Carl Spradlin RO IRA, Joy Spradlin RO IRA, Spradlin Living Trust DTD 4/2/01
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Douglas E. DeTata, Dean J. Dietrich, James Philip Barber
Hearing Site: Reno, NV
| | $0 |
| 07-00925 | 04/15/2008 | Claimant(s): Jodi Whitehead
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Arthur Lewis, CIBC World Markets Corp., Jeff Bank, Susan Sutherland
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Mark T. Burnam, Stanley Seidman, Alfred L. Simon
Hearing Site: Boca Raton, FL
| | $0 |
| 07-02834 | 04/15/2008 | Claimant(s): Robert R. and Delores J. Gehrking
Claimant Lawyers(s): Robert R. Gehrking
Respondent(s): Piper Jaffray & Co., William Pritchard
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): P. J. Boylan
Hearing Site: Milwaukee, WI
| | $213 |
