| 09-05774 | 07/15/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Michael Lopez
Respondent Lawyers(s): Michael W. Lopez
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
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| 08-01981 | 04/27/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Timothy Williams
Respondent Lawyers(s): Denise Smith Cline
Arbitrator(s): Lewis H. Kairys, John D. Robb, Jeffrey G. Swartz
Hearing Site: Raleigh, NC
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| 08-02931 | 04/27/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Rumy Lopez
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): David Maurer, Carol Jeanne Medof, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
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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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| 08-04040 | 11/17/2009 | Claimant(s): Suntrust Investment Services.
Claimant Lawyers(s): Timothy J McEvoy
Respondent(s): Michael Depirri
Respondent Lawyers(s): Jonathan E. Levine
Arbitrator(s): Wendie L. Wachtel, Michael J. Henke, Geoffrey A. Drucker
Hearing Site: Washington, DC
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| 08-03604 | 10/16/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): James Hutchison
Respondent Lawyers(s): James P. Hutchison
Arbitrator(s): Gregory E. Cater, Michael C. Hempfling, Matthew Crump
Hearing Site: Houston, TX
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| 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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| 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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| 07-02250 | 03/11/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): John Kendall
Respondent Lawyers(s): Ronald Weil
Arbitrator(s): John M. Eadie, Doug Campbell, Tom Cameron
Hearing Site: Boca Raton, FL
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