| 08-04431 | 12/15/2009 | Claimant(s): Nicholas McCormack
Claimant Lawyers(s): Nicholas McCormack
Respondent(s): Wachovia Securities, Jeffrey Zelin, Lise Robinson, A.G. Edwards & Sons.
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
|  | $340 |
| 09-03903 | 12/15/2009 | Claimant(s): William L. Price (IRA R/O)
Claimant Lawyers(s): William L. Price
Respondent(s): Wachovia Securities, Robert Krebs
Respondent Lawyers(s): Judy Louie
Arbitrator(s): John Patrick Kelly
Hearing Site: San Francisco, CA
| | $213 |
| 08-03946 | 11/17/2009 | Claimant(s): William Helms
Claimant Lawyers(s): Teresa Davis Bulford
Respondent(s): Wachovia Securities, James Covington
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Charles L. Measter, James C. Hoover, Charles Stanley Lomax
Hearing Site: Columbia, SC
| | $0 |
| 09-00958 | 11/11/2009 | Claimant(s): Sandra Slayton
Claimant Lawyers(s): Erienne J. Roberts
Respondent(s): Wachovia Securities, Evelyn Scarborough, Tom Greasor
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | $9,443 |
| 09-02527 | 10/14/2009 | Claimant(s): Frances Meyers
Claimant Lawyers(s): Howard Meyers
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | $9,413 |
| 08-04451 | 10/14/2009 | Claimant(s): Phyllis Andriani, PhylissAndriani TTEE Non-Marital Trusts, TTEE of the Martial Tr
Claimant Lawyers(s): Jacob Zamansky
Respondent(s): Wachovia Securities, Morgan Stanley & Co.
Respondent Lawyers(s): Alan S. Rafterman, Susan Poder MacFarlane
Arbitrator(s): James M. Baumann, Keely D. Parr, George E. Berkeley
Hearing Site: New York, NY
| | $0 |
| 08-03931 | 10/06/2009 | Claimant(s): Edie Dooley
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Wachovia Securities, Justin McLaughlin
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Steven M. Greenbaum, Lawrence S. Silver, Will Murphy
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 08-00368 | 09/02/2009 | Claimant(s): Ahmad Ahmadian
Claimant Lawyers(s): Ahmad Ahmadian
Respondent(s): Calvin Mason, Wachovia Securities
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Bradford J. Lam, Leon C. Tupy, Robert M. Fusfeld
Hearing Site: Denver, CO
| | $0 |
| 07-03507 | 08/31/2009 | Claimant(s): John Alltop, Lacoe Alltop, Robert Jordan
Claimant Lawyers(s): William L. Haugh
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Michael J. Henke, Jane F. Moore, Richard Jeffrey Magid
Hearing Site: Baltimore, MD
| | $375 |
| 08-01771 | 08/27/2009 | Claimant(s): Cheryl Gans, Jody Gans, Louis Gans
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wedbush Securities Inc., Wachovia Securities, Debbie Saleh, Joseph Rubenstein, UBS Financial Services Inc.
Respondent Lawyers(s): Debbie Saleh, John W. Stenson, Michael J. Abbott, Payne L. Templeton
Arbitrator(s): Alan Stamm, Robert J. Ruben, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
