| 09-00524 | 11/26/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Len Weintraub
Respondent(s): Katherine Traver, RBC Capital Markets Corporation
Respondent Lawyers(s): Eric D. Brandfonbrener
Arbitrator(s): Ronald L. Cheney, Robert J. Ambrogi, Philip S. Wellman
Hearing Site: Montpelier, VT
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| 09-02555 | 05/18/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Peter Zeman
Respondent Lawyers(s): Peter Zeman
Arbitrator(s): Keith J. Koerber, Brace K. Case, Kenneth Rochlen
Hearing Site: Detroit, MI
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| 09-02191 | 03/28/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Jan Preece Gaddis, Billy H. Ware, Charles W. Adams
Hearing Site: Oklahoma City, OK
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| 09-01518 | 03/13/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Soukkay Keomysy
Respondent Lawyers(s): Adam A. Gillette
Arbitrator(s): Emily F. Seesel, Jeffrey W. Jacobs, John R. Lepley
Hearing Site: Minneapolis, MN
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| 09-01683 | 03/05/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jason Warner
Respondent(s): Robert Bailey
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): John G. Manley, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
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| 09-02852 | 12/12/2011 | Claimant(s): Mark Sidell
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): David M. Levine, Will Murphy, Barry Rabinowitz
Hearing Site: Boca Raton, FL
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| 09-00549 | 11/09/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kurt Halverstadt, Sean Lehmann
Respondent Lawyers(s): Kurt Halverstadt, Sean Lehmann
Arbitrator(s): Mary Curran, Carlos Richard Mangum, Jane F. Gundermann
Hearing Site: San Francisco, CA
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| 10-02871 | 07/06/2011 | Claimant(s): Greg Kipple
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Alan J. Blocher, Ronald P. Wertheim, Jason Thomas Laird
Hearing Site: Philadelphia, PA
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| 09-03809 | 06/16/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jason Warner
Respondent(s): Ciro Cavazos
Respondent Lawyers(s): Ciro Gilbert Cavazos
Arbitrator(s): Herb Schwartz, Elmo E. Wedderburn, Ralph L. Jacobson
Hearing Site: San Francisco, CA
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| 07-02619 | 06/06/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): John Ryan
Respondent Lawyers(s): Jeffrey E. Stark
Arbitrator(s): Judith E. Gross, Fred D. Nicolois, Walter John Engels
Hearing Site: New York, NY
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