| 07-00210 | 09/11/2007 | Claimant(s): Thomas Woolman
Claimant Lawyers(s): Thomas A. Woolman
Respondent(s): USAA Investment Management Company
Respondent Lawyers(s): Dennis A. Nowak
Arbitrator(s): W. Reece Bader, Maurice R. Dunie, Egon Guttman
Hearing Site: Washington, DC
|  | $0 |
| 06-02960 | 09/10/2007 | Claimant(s):
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| 06-04375 | 09/10/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Davis Estes
Respondent Lawyers(s): Davis Allen Estes
Arbitrator(s): Clarence Jordan Ball, C. Gregory Ellison, Christian Peter Cimmino
Hearing Site: Richmond, VA
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| 07-00333 | 09/10/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jerad Rissler
Respondent(s): Jason Blum
Respondent Lawyers(s): Jason H. Blum
Arbitrator(s): Lanny M. Leff, John Uustal, Raymond W. Snow
Hearing Site: Boca Raton, FL
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| 06-04726 | 09/10/2007 | Claimant(s): Joan Graen, Dr. George B. Graen
Claimant Lawyers(s): George B. Graen, Joan A. Graen
Respondent(s): Laura Dishman, TIAA-CREF Ind. & Inst. Services
Respondent Lawyers(s): Carranza M. Pryor, Gary P. Barket
Arbitrator(s): Sam T. Heuer
Hearing Site: Little Rock, AR
| | $4,307 |
| 06-02775 | 09/07/2007 | Claimant(s):
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| 07-00175 | 09/07/2007 | Claimant(s): Edgar Barron
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Colonial Brokerage.
Respondent Lawyers(s): Stanley E. Graham
Arbitrator(s): Robert L. Hudson, Michael D. Walsh, Joseph John Mantione
Hearing Site: Orlando, FL
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| 07-00628 | 09/07/2007 | Claimant(s): Thomas Guerriero
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Mohamed Hussain
Respondent Lawyers(s): Mohamed Imran Hussain
Arbitrator(s): Edward Buscemi
Hearing Site: New York, NY
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| 06-03867 | 09/07/2007 | Claimant(s): Alfonso Pena, Alfonso C. Pena 2004 Rev. Living Trust
Claimant Lawyers(s): Drew D. Hansen, Robert A. Uhl
Respondent(s): Donald Gloisten, Gerard Gloisten, GBS Advisors, GBS Financial Corp.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): James H. Frank, Dean Schneider, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | $586,095 |
| 03-04728 | 09/07/2007 | Claimant(s): Amin Merchant, Apex Trading House
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Edward So, Charles Schwab & Co.., Prudential Equity Group
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jarrott T. Miller, Richard L. Rubin, Mario Henry Barsotti
Hearing Site: San Francisco, CA
| | $0 |
