| 07-03221 | 03/18/2009 | Claimant(s): Michael Vanin
Claimant Lawyers(s): Valerie S. Carter
Respondent(s): Wachovia Securities, Prudential Equity Group
Respondent Lawyers(s): Barry J. Miller, Thomas J. Kavaler
Arbitrator(s): Gerald H. Powers, Patricia Gatto Hechavarria, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
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| 07-02250 | 03/11/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): John Kendall
Respondent Lawyers(s): Ronald Weil
Arbitrator(s): John M. Eadie, Doug Campbell, Tom Cameron
Hearing Site: Boca Raton, FL
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| 06-00290 | 02/24/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Craig Johnson
Respondent Lawyers(s): Jeffrey S. Leonard
Arbitrator(s): Deborah C. Bernot, Merton E. Marks, Lee R. Barbakoff
Hearing Site: Phoenix, AZ
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| 08-00376 | 02/13/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Martin Hensley
Respondent Lawyers(s): Martin D. Hensley
Arbitrator(s): Jack C. Aycock, Harold Engelman, David P. McDuffee
Hearing Site: Raleigh, NC
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| 07-03256 | 02/12/2009 | Claimant(s): Alan Gildenberg
Claimant Lawyers(s): Jay A. Schwartz
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Marvin I. Horowitz, Norman A. Samson, Earlene R. Baggett-Hayes
Hearing Site: Detroit, MI
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| 08-00733 | 02/05/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David Ward
Respondent(s): Timothy McNamara
Respondent Lawyers(s): Roger S. Davis
Arbitrator(s): Sandor I. Rabkin, Dennis M. Cronin, Charles A. Goglia
Hearing Site: Boston, MA
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| 06-03292 | 01/28/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Robert Peck
Respondent Lawyers(s): Robert Peck
Arbitrator(s): Robert B. Kane, Nelson J. Brous, Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 08-02500 | 01/13/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Sandra Pope
Respondent Lawyers(s): Sandra Pope
Arbitrator(s): Dallas Whitney Coffman
Hearing Site: Hartford, CT
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| 07-01395 | 12/19/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Thomas
Respondent Lawyers(s): John A. Bender
Arbitrator(s): Michael R. Scott, Lawrence E. Little, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
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| 08-00805 | 12/19/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Robert Berry
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): David J. Capriotti
Hearing Site: Cleveland, OH
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