| 08-03523 | 01/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Chrys
Respondent Lawyers(s): Jeffrey J. Calabrese, Louis M. Lagalante
Arbitrator(s): Jay F. Donnaruma, Stuart M. Schwartz, Ruth A. Ihne
Hearing Site: Albany, NY
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| 09-01130 | 01/15/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Carol Ramsdell, Wachovia Securities, Eugene Richardson, Justin Burdo, Marc Johnson
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): David Buch, Christopher C. Willett, Ronald Ripstein
Hearing Site: Rochester, NY
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| 08-04652 | 01/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Lisa Alvarado
Respondent Lawyers(s): Jennifer L. Bergman
Arbitrator(s): Mobley E. Cox, Martin Samuel Altimore, JoAnn McEwan
Hearing Site: Houston, TX
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| 09-04323 | 01/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Wesley Fracker
Respondent Lawyers(s): Wesley A. Fracker
Arbitrator(s): John R. Main
Hearing Site: Detroit, MI
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| 07-01736 | 01/05/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David L. Ward
Respondent(s): James Dowd, John McMahon, Morgan Stanley & Co., Mark Brown, Todd Walker
Respondent Lawyers(s): Michael L. Chinitz, Michael L. Rosen
Arbitrator(s): John R. Thompson, Sandor I. Rabkin, Thomas J. Horack
Hearing Site: Boston, MA
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| 07-01400 | 12/22/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Wachovia Securities, Jason Siegel
Respondent Lawyers(s): David L. Ward
Arbitrator(s): William J. Crowe, Gerry E. Feinberg, Aubrey Lees
Hearing Site: New York, NY
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| 08-02137 | 12/18/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kathryn Bedke
Respondent(s): Stifel, Nicolaus & Co.., Frank Brand, George Stukes, Marvin Slaughter, Stephen Jones
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): J. Kirkland Grant, Frank Samuel Perri, John Wescoat Sandlin
Hearing Site: Columbia, SC
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| 07-00680 | 12/10/2009 | Claimant(s): Kevin LeBlanc, Robert Berg
Claimant Lawyers(s): Jim L. Batson
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Robert L. Nisely, Christine Moore, Keith Eric Bettencourt
Hearing Site: New York, NY
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| 09-04097 | 12/07/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Wiginton
Respondent Lawyers(s): Michael W. Wiginton
Arbitrator(s): Thomas C. Moxley
Hearing Site: Birmingham, AL
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| 09-02554 | 11/20/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Don Steriovski
Respondent Lawyers(s): Don Steriovski
Arbitrator(s): Victor Elting
Hearing Site: Chicago, IL
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