| 19-03841 | 12/08/2020 | Claimant(s): Alex Muscati
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Prudential Equity Group, Morgan Stanley, Wachovia Securities, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anthony Paduano, Christopher M. Sacco, Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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| 20-00412 | 08/07/2020 | Claimant(s): Jason Gonter
Claimant Lawyers(s): Peter R. Spirgel
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s):
Hearing Site: Philadelphia, PA
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| 09-05466 | 12/14/2015 | Claimant(s): Michael Chrys
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Anthony Dinallo, Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): George F. Adams, Kenneth Dymond, John Carl Cirincion
Hearing Site: Albany, NY
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| 13-02800 | 04/06/2015 | Claimant(s): Cage Carruthers
Claimant Lawyers(s): Charles D. Reaves
Respondent(s): Ari Litvin, Wachovia Securities
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Yvonia A. Foster, J. Maxwell Williams, William Graves Hardwick
Hearing Site: Memphis, TN
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| 08-04621 | 12/06/2013 | Claimant(s): Joseph Seidler
Claimant Lawyers(s): Patrick Gillette
Respondent(s): Wachovia Securities, Kevin Kitchin
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Elmo E. Wedderburn, Joseph M. O'Connor, Carol Ann Jensen
Hearing Site: San Francisco, CA
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| 08-04812 | 06/13/2013 | Claimant(s): Gary Cattich
Claimant Lawyers(s): Gary Cattich
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Jarrott T. Miller, Douglas W. Oldfield, Edwin C. Shiver
Hearing Site: San Francisco, CA
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| 09-05028 | 06/12/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steven Stahlberg
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Laurel Littman Gothelf, Herbert L. Brown, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
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| 09-04869 | 04/18/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Charles A. Hammaker
Respondent(s): Stifel, Nicolaus & Co.., Gary Endres
Respondent Lawyers(s): Andrew Shapren, Joseph A.. Dougherty
Arbitrator(s): Nancy J. Spieczny, Deanna Margaret Veitia, Brian William Heublein
Hearing Site: San Diego, CA
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| 09-01619 | 03/05/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Robert Hoffman
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Glenn Lloyd Nobel, Fred M. Fleisher, Peter L. Marco
Hearing Site: Philadelphia, PA
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| 08-05032 | 11/29/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Thomas Sullivan
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Mary H. Evans, Peter Anthony Sigal
Hearing Site: San Francisco, CA
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