| 08-04027 | 03/29/2010 | Claimant(s): Arun Verma, Karuna Verma, Makan Limited Partnership
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Wachovia Securities, John Montfort, A.G. Edwards & Sons.
Respondent Lawyers(s): Daniel Kirshbaum, Jack C. Ballard
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Charles S. Chester
Hearing Site: Houston, TX
|  | $82,837 |
| 08-04273 | 03/25/2010 | Claimant(s): Helen Schabot
Claimant Lawyers(s): Richard L. Burstein
Respondent(s): Anne Whelan, Wachovia Securities
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Jay F. Donnaruma, William G. Binckes, Kenneth Dymond
Hearing Site: Albany, NY
| | Stipulated Award and Expungement |
| 09-01421 | 03/24/2010 | Claimant(s): Irving Scharff
Claimant Lawyers(s): Irving Scharff
Respondent(s): Wachovia Securities, Edward Mercier, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 08-05005 | 03/17/2010 | Claimant(s): Fagan Miller
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jan Preece Gaddis, Robert Steven Haught, David A. Laughlin
Hearing Site: Oklahoma City, OK
| | $14,377 |
| 08-02858 | 03/02/2010 | Claimant(s): Ken Sirls
Claimant Lawyers(s): Paul A. Lax
Respondent(s): Wachovia Securities, Mark Schneider, Randall Hunt
Respondent Lawyers(s): Pete S. Michaels, Stephen Young
Arbitrator(s): Robert B. Hansohn, Ivan Claman, Allan H. Colman
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02283 | 02/11/2010 | Claimant(s): Lioudmila Pashenkov
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Wachovia Securities, Michael Stevens
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Craig Scott Bartlett
Hearing Site: Newark, NJ
| | $2,213 |
| 09-02358 | 02/11/2010 | Claimant(s): Donna Wheeler, Teri Smith, Ruth E. Park Family Trust
Claimant Lawyers(s): Eric J. McNeilus
Respondent(s): Wachovia Securities, Edward Gardner
Respondent Lawyers(s): Adele Ponce
Arbitrator(s): Joe S. Tarrer, Marc Kalish, Rebecca S. Falatka
Hearing Site: Phoenix, AZ
| | $0 |
| 09-00742 | 12/30/2009 | Claimant(s): Barbara Russo, Daniel Russo
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Wachovia Securities, Michael Greene
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Larry Kars, Arthur Best, Sharon A. McCloskey
Hearing Site: New York, NY
| | $0 |
| 08-04559 | 12/23/2009 | Claimant(s): James R. Smith and Carol A. Smith
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Susan A. Logsdon
Arbitrator(s): Mary Ann Tunick, Charles E. Munson, Michael S. Yauch
Hearing Site: Houston, TX
| | $123,324 |
| 09-02513 | 12/21/2009 | Claimant(s): Sherry Elschlager, Terry Elschlager
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Henry G. Plaster
Hearing Site: Charleston, WV
| | $50,000 |
