| 09-02556 | 10/09/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Frederick Scholer
Respondent Lawyers(s): Frederick Scholer
Arbitrator(s): Judith A. Payuk, Alan B. Fender, Susan Elaine Mersereau
Hearing Site: Des Moines, IA
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| 08-04089 | 06/18/2009 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Chris Minor
Respondent Lawyers(s): Chris Minor
Arbitrator(s): Hyram A. Evans, Henry Kirke Cushing, Lisa A Randall-Haag
Hearing Site: Chicago, IL
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| 06-00290 | 02/24/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Craig Johnson
Respondent Lawyers(s): Jeffrey S. Leonard
Arbitrator(s): Deborah C. Bernot, Merton E. Marks, Lee R. Barbakoff
Hearing Site: Phoenix, AZ
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| 08-00805 | 12/19/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Robert Berry
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): David J. Capriotti
Hearing Site: Cleveland, OH
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| 08-00718 | 12/04/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Diane Spencer
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): Gary R. Miles, Robert P. Weisberger, Michael Brian McCord
Hearing Site: Cleveland, OH
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| 07-02417 | 09/11/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Bruce Myers
Respondent Lawyers(s): Bruce W. Myers
Arbitrator(s): William A. Husa, Charles M. Ackerman, Alan Reginald Doe
Hearing Site: Seattle, WA
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| 07-02566 | 08/29/2008 | Claimant(s): GunnAllen Financial.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Poutre, II, Shlomi Eplboim
Respondent Lawyers(s): Michael Poutre, Shlomi Eplboim
Arbitrator(s): Robert Taylor, Blaine Smith, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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| 07-03156 | 05/28/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Joel Small
Respondent Lawyers(s): Joel Small
Arbitrator(s): Bonnie K. Wachtel, Daniel T. McHugh, Bonnie Dale King-Rose
Hearing Site: Baltimore, MD
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| 07-01636 | 01/16/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Bruce Cooke
Respondent Lawyers(s): John F. Marsini
Arbitrator(s): Allen B. Lang
Hearing Site: Philadelphia, PA
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| 06-02806 | 11/28/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Jacobs
Respondent Lawyers(s): Michael F. Jacobs
Arbitrator(s): Cletus E. Byrne, Roger T. Felthoven, Carla B. Minckley
Hearing Site: Denver, CO
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