| 09-00668 | 08/25/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Bruce Bruning
Respondent Lawyers(s): Bruce K. Bruning
Arbitrator(s): John N. Breazeale
Hearing Site: Boca Raton, FL
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| 08-01644 | 08/21/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Richard Hobgood
Respondent Lawyers(s): Steven C. Lawrence
Arbitrator(s): James Edward Banks, Charles K. ReCorr, Michael James Childers
Hearing Site: Raleigh, NC
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| 06-03849 | 07/10/2009 | Claimant(s): Barry Ross
Claimant Lawyers(s): Harvey R. Friedman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Herbert Leslie Greenberg, Michael W. Burnett, George L. Tindall
Hearing Site: Los Angeles, CA
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| 08-00340 | 06/22/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Strand
Respondent Lawyers(s): Jack J. Mazzara
Arbitrator(s): Matthew W. Schlegel, Gregory M. Gendron, Floyd E. Jamison
Hearing Site: Detroit, MI
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| 07-01037 | 06/10/2009 | Claimant(s): Charles Bever
Claimant Lawyers(s): Michael McDonough
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Harry L. Sheehy, Michael I. White, Bridget A. Mitchell
Hearing Site: Des Moines, IA
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| 08-00530 | 06/04/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Charles Griffin
Respondent Lawyers(s): Charles C. Griffin
Arbitrator(s): Michael Lloyd Weisel, Frank Samuel Perri, John E. Baynum
Hearing Site: Raleigh, NC
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| 08-02004 | 06/01/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Joseph Connor
Respondent Lawyers(s): Joseph A. Connor
Arbitrator(s): Susan A. Mathews, Baunita M. Greer, Jehangir Fuller Varzi
Hearing Site: Washington, DC
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| 08-01606 | 05/26/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Nicole Stadelmaier
Respondent(s): Gregory Ricker
Respondent Lawyers(s): Grover S. Parnell, Jr.
Arbitrator(s): Alan M. Schankel, Felix A. Meschini, John T. Hausladen
Hearing Site: Philadelphia, PA
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| 08-02780 | 04/29/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): William Dahm
Respondent Lawyers(s): William C. Dahm
Arbitrator(s): Edward T. Borer, Peter D. Shelp, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
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| 08-00169 | 04/21/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bryant Hayward, Richard Holm, Robert Corona
Respondent Lawyers(s): Charles H. Torres, Timothy N. Will
Arbitrator(s): Suanne M. Parro, Luis D. Rovira, Wylie G. Hairgrove
Hearing Site: Denver, CO
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