| 08-04505 | 07/22/2009 | Claimant(s): George O. Miles and Sharon K. Miles
Claimant Lawyers(s): George O. Miles
Respondent(s): Wachovia Securities, Gerald Rabin, Gregory Ek
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Murray S. Levin, W. Richard Keene, Michael J. Hunter
Hearing Site: Kansas City, MO
|  | $0 |
| 08-02454 | 07/21/2009 | Claimant(s): Donald Carter, Jennifer Carter, Nancy Carter, Lauren Carter Millennium Trust, Lauren Eve Carter Educational Trust, Maxine Half Revocable Trust, Nancy Carter & Kevin Asch Trust, Nancy Carter & Stephanie Asch 1992 Tr, Stephanie Carter Millennium Trust, Stephanie Esther Carter Educational Tr
Claimant Lawyers(s): David J. Feingold
Respondent(s): Wachovia Securities, Kurt Sylvia
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Paul W. Sterman, Joseph Benalt, Gabriela Rif
Hearing Site: Boca Raton, FL
| | $143,000 |
| 09-01271 | 07/21/2009 | Claimant(s): Gilbert Meem, Knight Meem
Claimant Lawyers(s): Howard Meyers
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Martin L. Feinberg
Hearing Site: New York, NY
| | $213 |
| 08-03999 | 06/19/2009 | Claimant(s): Louis Basel, Penelope Basel
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities, Neophytos Ganiaris
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Paul T. Green, Pamela H. Roderick, Judith P. Brooks
Hearing Site: New York, NY
| | $60,000 |
| 08-00397 | 06/18/2009 | Claimant(s): Elizabeth Gayle
Claimant Lawyers(s): J. Mark Brewer
Respondent(s): Wachovia Securities, Ryan Wrobleske, Prudential Equity Group
Respondent Lawyers(s): Retta E. Miller
Arbitrator(s): Dolores M Martin, Richard F. Dole, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | $4,920 |
| 08-04797 | 06/09/2009 | Claimant(s): Est. of Barbara D. Whitener, by Susan Pa
Claimant Lawyers(s): Susan W. Parker
Respondent(s): Wachovia Securities, Jason Haney
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
| | $3,996 |
| 08-04339 | 06/04/2009 | Claimant(s): Darria Kosich
Claimant Lawyers(s): Darria Elizabeth Kosich
Respondent(s): Wachovia Securities, David Neison
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Ralph B. Perry
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00029 | 05/29/2009 | Claimant(s): Craig Roberts, Pennie Roberts, Pennie L. Roberts Rev. Trust
Claimant Lawyers(s): A. Brian McIntosh
Respondent(s): Wachovia Securities, Patrick Sowers, Scottrade.
Respondent Lawyers(s): Andrew C. Small, Brent J. Burtin
Arbitrator(s): W. Pat Conners, John S. Weisheit, Edmund P. Pultinas
Hearing Site: Cincinnati, OH
| | $0 |
| 08-01002 | 05/20/2009 | Claimant(s): The Estate of Mary A. Musil
Claimant Lawyers(s): Richard A. Kutche
Respondent(s): Wachovia Securities, A.G. Edwards & Sons., Prudential Equity Group
Respondent Lawyers(s): James C. Browning, Kenneth Fuchs
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $36,717 |
| 08-03057 | 05/06/2009 | Claimant(s): Ralph Plechner
Claimant Lawyers(s): Ralph E. Plechner
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
| | $0 |
