| 07-00999 | 01/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Stephen Whitman
Respondent Lawyers(s): Neda Ataie
Arbitrator(s): Harvey C. Flodin, Joseph T. Donnantuoni, Kevin K. Forrester
Hearing Site: San Diego, CA
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| 09-01972 | 12/22/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Eric Rice
Respondent Lawyers(s): Eric Allen Rice
Arbitrator(s): James B. Guillou
Hearing Site: San Diego, CA
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| 07-02555 | 02/24/2009 | Claimant(s): Michael Fangman
Claimant Lawyers(s): Liam O'Brien
Respondent(s): National Financial Services LLC, Stanley Brooks, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald S. Davidson, H Thomas Fehn, Stanley C. Brooks
Arbitrator(s): Franklin Geerdes, Virginia H. Gaburo, Robert E. Witt
Hearing Site: San Diego, CA
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| 08-00125 | 02/11/2009 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne Yannakakis
Respondent(s): Peter Holst
Respondent Lawyers(s): Peter Anthony Holst
Arbitrator(s): Lester G. Stiel, Roger T. Verhage, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
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| 08-00012 | 10/09/2008 | Claimant(s): Wedbush Morgan Securities
Claimant Lawyers(s): Lucia La Rosa Ames
Respondent(s): Richard LaBare
Respondent Lawyers(s): Arthur S. Leider
Arbitrator(s): Alfred E. Monahan, William L. Erwin, John C. Lees
Hearing Site: San Diego, CA
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| 05-05159 | 09/04/2008 | Claimant(s): Michael Holland, William Holland
Claimant Lawyers(s): Karen A. Batcher
Respondent(s): Wachovia Securities, Eugene Ingargiola
Respondent Lawyers(s): Joseph R. Becerra
Arbitrator(s): Alan Stamm, James H. Bowersox, Gerald F. Corrigan
Hearing Site: San Diego, CA
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| 06-05295 | 08/29/2008 | Claimant(s): Curt Reed
Claimant Lawyers(s): Lawrence J. Fossi
Respondent(s): Lincoln Financial Advisors Corporation, The Lincoln National Life Insurance Co
Respondent Lawyers(s): David J. Novotny
Arbitrator(s): Dennis Michael Kelleher, Joseph J. Woodford, Michael D. Briggs
Hearing Site: San Diego, CA
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| 07-01447 | 06/04/2008 | Claimant(s): William Buechler
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Wachovia Securities, Wachovia Corporation
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Guenter S. Cohn, Anatoly "Tony" Zuban, Duane Ted Wolfe
Hearing Site: San Diego, CA
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| 04-01248 | 03/19/2008 | Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Alan Fishman
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): James J. Dobbin, Harris J. Howard, Robert Jay Filderman
Hearing Site: San Diego, CA
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| 05-00238 | 12/04/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Paul Clayton
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert W. Vernon, Paul J. Sipe, Barry E. Kersh
Hearing Site: San Diego, CA
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