| 07-00893 | 12/16/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Todd Ratner
Respondent(s): John Kuehl
Respondent Lawyers(s): David W. Dow
Arbitrator(s): Jerry H. Friedland, Paul T. Sachs, Jeffrey Charles Evanello
Hearing Site: Phoenix, AZ
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| 05-05018 | 12/08/2008 | Claimant(s): Jason Laney
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Christohper A. Stecher
Arbitrator(s): Juleanne A. Thiebaut, Mary H. Evans
Hearing Site: San Francisco, CA
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| 08-00718 | 12/04/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Diane Spencer
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): Gary R. Miles, Robert P. Weisberger, Michael Brian McCord
Hearing Site: Cleveland, OH
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| 07-02485 | 09/24/2008 | Claimant(s): Raymond Curtin
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Ned B. Young, Kimberly A. Gilmour, Charles W. Lavender
Hearing Site: Ft. Lauderdale, FL
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| 07-02417 | 09/11/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Bruce Myers
Respondent Lawyers(s): Bruce W. Myers
Arbitrator(s): William A. Husa, Charles M. Ackerman, Alan Reginald Doe
Hearing Site: Seattle, WA
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| 05-05159 | 09/04/2008 | Claimant(s): Michael Holland, William Holland
Claimant Lawyers(s): Karen A. Batcher
Respondent(s): Wachovia Securities, Eugene Ingargiola
Respondent Lawyers(s): Joseph R. Becerra
Arbitrator(s): Alan Stamm, James H. Bowersox, Gerald F. Corrigan
Hearing Site: San Diego, CA
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| 06-03260 | 08/19/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Haran Brucker
Respondent Lawyers(s): Jenice L. Malecki
Arbitrator(s): Arthur T. Jacobs, Kevin B. Naughten, Joan Ilivicky
Hearing Site: New York, NY
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| 07-02921 | 08/08/2008 | Claimant(s): Anthony Russo, Christopher Drake, David Luna, Stifel, Nicolaus & Co.., Donald Johns, Edward Gutierrez, Herbert Keyser, Jon Bostrom, Linda Swart-Scipione, Lisa Evans, Lisa McCrea, Manuel Lozano, Michael Nielsen, Raymond Reed
Claimant Lawyers(s): Joseph A. Dougherty, Kenneth C. Mennemeier
Respondent(s): Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Keith D. Patten, Robert W. Dempsey, Jeffrey N. Sullivan
Hearing Site: St. Louis, MO
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| 07-01349 | 07/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Paul Hitchcock
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Alexander L. Mazour, Paul A. D. Evans, Terri Coster Boesch
Hearing Site: San Francisco, CA
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| 06-04968 | 07/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Sergio Negrini
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Syma S. Kasdin, Richard J. Kaplan, Norman E. Heyman
Hearing Site: Boca Raton, FL
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