| 08-03500 | 05/03/2011 | Claimant(s): Joseph Bardzilowski
Claimant Lawyers(s): Thomas H. Chiacchio
Respondent(s): Wachovia Securities, Francis Buckley, Harry Sze, Lawrence Parsons
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Cynthia H. Plishtin, John R. Buehler, Alan Shaw
Hearing Site: Newark, NJ
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| 09-02587 | 04/15/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael Angel
Respondent Lawyers(s): Michael Angel
Arbitrator(s): Thomas W. Borden, Paul D. Allen, James D. Murray
Hearing Site: San Francisco, CA
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| 09-02124 | 04/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Frank M. Romano, William M. Lacy, Charles S. Chester
Hearing Site: Houston, TX
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| 09-04352 | 04/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Todd Ratner
Respondent(s): Mitchell Yanow
Respondent Lawyers(s): Mitchell T. Yanow
Arbitrator(s): Bernard S. Carrey, Harry Dressler, Laura Jane Starr
Hearing Site: Boca Raton, FL
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| 07-03410 | 03/15/2011 | Claimant(s): Dennis Serio
Claimant Lawyers(s): Eric Madden
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Ross Forbes
Arbitrator(s): Edwin J. Tomko, Lawrence R. Maxwell, Mary Day Smelser
Hearing Site: Dallas, TX
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| 09-02216 | 03/01/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Steven Farris
Respondent Lawyers(s): Steven E. Farris
Arbitrator(s): Thomas J. McAllister, Jesse David Hill, Michael William Petty
Hearing Site: St. Louis, MO
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| 09-02912 | 02/11/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Darren Meehan
Respondent Lawyers(s): Darren Meehan
Arbitrator(s): David Maurer, Daniel R. Brush, Leslieann Lee Brucker
Hearing Site: Los Angeles, CA
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| 09-01969 | 02/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Christian Quege
Respondent Lawyers(s): Thomas M. Campbell
Arbitrator(s): David L. Binhak, Jeffrey G. Sommers, Madelyn A. Levy
Hearing Site: New York, NY
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| 09-02704 | 12/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Mark Robles
Respondent Lawyers(s): Mark J. Robles
Arbitrator(s): Erik R. Siering, Janice A. Salter, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
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| 09-00249 | 12/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Telum Winters
Respondent Lawyers(s): Telum Jackey Winters
Arbitrator(s): Harris E. Bunkin, Irwin Glazer, Marcy R. Greer
Hearing Site: Tampa, FL
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