| 06-02135 | 01/03/2008 | Claimant(s): Steven Nadler
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): J.J.B. Hilliard, W.L. Lyons, PNC Investment
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Mark D. Quinn, Susan E. Harkins, Robert Philip Mather
Hearing Site: Newark, NJ
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| 06-03491 | 01/03/2008 | Claimant(s): Kathryn Honea
Claimant Lawyers(s): J. Timothy Francis
Respondent(s): Bernard Michaud, Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Victor L. Hayslip, Ronald Griffith Wilkins, Suzette Merriam Foster
Hearing Site: Birmingham, AL
|  | $0 |
| 07-01311 | 01/03/2008 | Claimant(s): William B. and Mary Connolly
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Victoria Tomaro, TFS Securities.
Respondent Lawyers(s): Russell Burnside
Arbitrator(s): Dale S. Cronnell, Steven R. Rolnick, Thomas C. Tretter
Hearing Site: Hartford, CT
| | $0 |
| 06-02188 | 01/02/2008 | Claimant(s): Francis McDonough
Claimant Lawyers(s): Robert S. Whitman
Respondent(s): W.H. Reaves & Co..
Respondent Lawyers(s): Thomas P. Lane
Arbitrator(s): Herbert Siegel, Richard S. Peskin, Joseph F. Grassi
Hearing Site: New York, NY
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| 06-02790 | 01/02/2008 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Lynda Findlay
Respondent Lawyers(s): Lynda Ann Findlay-Scott
Arbitrator(s): Cary Allen, George A. Sawyer, David George McCabe
Hearing Site: Memphis, TN
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| 07-01754 | 01/02/2008 | Claimant(s): Sterling Financial Investment Group
Claimant Lawyers(s): Joshua Bleil
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Sherryll Martens Dunaj
Arbitrator(s): Michael S. Hill, Coletta L. Dorado, Rosemary E. Desmond
Hearing Site: Boca Raton, FL
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| 07-01028 | 12/31/2007 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Richard Paganelli
Respondent Lawyers(s): Richard J. Paganelli
Arbitrator(s): Peter Schneider, Catherine R. McClellan, Kenneth I. Daniels
Hearing Site: Atlanta, GA
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| 06-03531 | 12/31/2007 | Claimant(s): Carrie Mohundro
Claimant Lawyers(s): Joe Alfred Izen
Respondent(s): Richard Ibarra, Institutional Equity Corporation
Respondent Lawyers(s): David B. Dyer, Jeffrey Michel
Arbitrator(s): Robert L. Chisolm, Robert R. Marquardt, Larry N. Quinn
Hearing Site: Dallas, TX
| | $0 |
| 05-06503 | 12/28/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jennifer Woods-Burke
Respondent(s): Michael Friedman
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Vicki Z. Holleman, Robert Manfredo, Linda S. Cole
Hearing Site: New York, NY
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| 07-01250 | 12/28/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Joseph Kenna
Respondent Lawyers(s): J. Pat Sadler
Arbitrator(s): Royce Alan Burns, Patrick L. Bellantoni, Arthur Thomas Stephenson
Hearing Site: Atlanta, GA
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