| 09-02586 | 12/02/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Nils Barrett
Respondent Lawyers(s): Steven M. Harris
Arbitrator(s): Blaine Smith, Linda L. Drummond, Robert Elman
Hearing Site: Los Angeles, CA
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| 09-04824 | 12/02/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan Levine
Respondent(s): Shawn Newman
Respondent Lawyers(s): Shawn C. Newman
Arbitrator(s): Susan J. Buckley, Denise L. Presley, Jerry L. Hooper
Hearing Site: Charlotte, NC
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| 09-01515 | 10/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tracy Wildeman
Respondent Lawyers(s): Tracy Allen Wildeman
Arbitrator(s): Victor B. Taube, Ronald K. Sprague, James W. Warren
Hearing Site: Phoenix, AZ
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| 09-02028 | 09/30/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Thomas Bridge
Respondent Lawyers(s): Thomas C. Bridge
Arbitrator(s): Mark C. Perry, Walter B. Bancroft, James W. Geiger
Hearing Site: Boca Raton, FL
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| 09-01736 | 09/24/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): David Berman
Respondent Lawyers(s): David T. Berman
Arbitrator(s): Marcy R. Greer
Hearing Site: Clearwater, FL
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| 10-01582 | 09/20/2010 | Claimant(s): David Le Munyon
Claimant Lawyers(s): David S Le Munyon
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Kenneth J. Turnbull, Patricia E. Cowart
Arbitrator(s): Dwight Wassong
Hearing Site: Newark, NJ
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| 09-00110 | 08/11/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Martin Vanamen
Respondent Lawyers(s): Martin Johanne Vanamen
Arbitrator(s): Thomas D. Tays, David M. Seidner, Suzanne M. Dallimore, P.C.
Hearing Site: Salt Lake City, UT
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| 07-02623 | 08/10/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): John E. MacDonald
Respondent(s): John Zannakis
Respondent Lawyers(s): Jeffrey S. Stewart
Arbitrator(s): John J. Jordan, Steven T. Stern, Robert C. Scanlan
Hearing Site: Philadelphia, PA
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| 09-04883 | 07/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Blake Daniels
Respondent(s): Hubert Runnels
Respondent Lawyers(s): Hubert L. Runnels
Arbitrator(s): Eli Bensky
Hearing Site: Jackson, MS
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| 09-01452 | 06/28/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ronald P. Kane
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kenneth D. Bingham, Simeon R. Trotter, Robert R. Nursey
Hearing Site: Dallas, TX
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