| 06-04739 | 01/30/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Douglas D. Callaway
Respondent(s): Larry Margozewitz
Respondent Lawyers(s): Larry R. Margozewitz
Arbitrator(s): Thomas H. Griffin, Joshua D. Wallach, Leslie Bernard Jallans
Hearing Site: Houston, TX
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| 07-00797 | 01/28/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jay Rottner
Respondent Lawyers(s): J. Steven Parker
Arbitrator(s): A. Keith Logue, T. Scott Watkins, Joan Connolly Grafstein
Hearing Site: Atlanta, GA
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| 06-04113 | 01/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Ken Bott
Respondent Lawyers(s): Aileen E. Cohen
Arbitrator(s): Steven A. Budin, Royetta M. Jones, Richard W. Pendleton
Hearing Site: Las Vegas, NV
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| 06-01892 | 01/23/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): John Kennedy
Respondent Lawyers(s): Raymond Nardo
Arbitrator(s): Norris D. Wolff, Stuart Rothenstein, Royce Russell
Hearing Site: New York, NY
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| 07-01636 | 01/16/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Bruce Cooke
Respondent Lawyers(s): John F. Marsini
Arbitrator(s): Allen B. Lang
Hearing Site: Philadelphia, PA
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| 05-05856 | 01/15/2008 | Claimant(s): Advest.
Claimant Lawyers(s): Michael J. Fortunato
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Katherine C. Helzer
Arbitrator(s): William J. Crowe, Vicki Z. Holleman, Richard S. Peskin
Hearing Site: New York, NY
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| 05-04639 | 12/21/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): William W. Allen
Respondent(s): David Pennington, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Davidson, Russell Sayre
Arbitrator(s): Amelia F. Adams, Carolyn K. Balleisen, John D. Robb
Hearing Site: Louisville, KY
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| 06-00700 | 12/20/2007 | Claimant(s): Dennis Metter, Donald Metter
Claimant Lawyers(s): Paula K. Maguire
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Jennifer R. Seltenrich
Arbitrator(s): Victor Elting, Thomas F. Ryan, Jeffrey L. Durkes
Hearing Site: Chicago, IL
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| 06-00479 | 12/17/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David James Smith
Respondent(s): Richard Rubin
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Thomas R. Maimone, Frank Nussbaum, Joel F. Martineau
Hearing Site: Boca Raton, FL
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| 05-06450 | 12/07/2007 | Claimant(s): Ronald Goldman
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): G. Thomas Fleming, Sheryl Skibbie
Arbitrator(s): Donald S. Simons, Robert S. Fash, Robert E. Jenks
Hearing Site: Los Angeles, CA
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