| 07-03487 | 12/10/2008 | Claimant(s): Vincent P. Miraglia, MD, PA, Trustee
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, James Chris Mills
Hearing Site: Boca Raton, FL
|  | $0 |
| 08-00767 | 12/04/2008 | Claimant(s): John A. and Georgene M. Caruso
Claimant Lawyers(s): Russell F. Waxman
Respondent(s): Wachovia Securities, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan Rafterman, Coren H. Stern
Arbitrator(s): Matthew Loguercio, Roy L. Weiss, William P. Laino
Hearing Site: New York, NY
| | $0 |
| 07-03105 | 11/26/2008 | Claimant(s): Alvin McQuinn, Alvin E. McQuinn FLITE Trust
Claimant Lawyers(s): John Cotter, Mark J. Briol
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Lawrence J. Welte, Robert S. Burk, Daniel D. Hill
Hearing Site: Minneapolis, MN
| | $250,000 |
| 08-00751 | 11/13/2008 | Claimant(s): Jacqueline F. and Adam P. Paulausky
Claimant Lawyers(s): Jacquline F. Paulausky
Respondent(s): Wachovia Securities, Todd Griffith
Respondent Lawyers(s): William Port
Arbitrator(s): J. Maxwell Williams
Hearing Site: Clearwater, FL
| | $163 |
| 07-03227 | 11/12/2008 | Claimant(s): Bayan Jamous, Feda Jamous
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): A.J. Keyser, Wachovia Securities, Robert Schneller
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): John J. Muldowney, Donald B. Vaden, Arthur B. O'Connell
Hearing Site: Richmond, VA
| | $525,000 |
| 08-00408 | 11/06/2008 | Claimant(s): Ruth Farr
Claimant Lawyers(s): William L. White
Respondent(s): Wachovia Securities, Prudential Equity Group, UBS Services USA LLC
Respondent Lawyers(s): Dan A. Rosenbaum, Demian J. Betz, Kenneth Fuchs
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | $213 |
| 07-01870 | 10/09/2008 | Claimant(s): Joan Skrzycki, Robert Skrzycki
Claimant Lawyers(s): Daniel R. Flebotte
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert T. Allen, David P. McDuffee, George W. McKellar
Hearing Site: Raleigh, NC
| | $0 |
| 07-00905 | 08/05/2008 | Claimant(s): Cecilia Johnson, Leslie D. Roos Trust, Ruby S. Roos Trust
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Wachovia Securities, Capital Growth Financial
Respondent Lawyers(s): Brian J. Schuster, Michael Jacobs, Todd Ratner
Arbitrator(s): Robert L. Agusto, Jonathan B. Gilbert, Elayne Morgan
Hearing Site: Omaha, NE
| | $680,260 |
| 07-01729 | 07/30/2008 | Claimant(s): Gayle Patton, Ira Patton
Claimant Lawyers(s): Jeff S. Daniel
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Valerie J. Hamm, Allan Weiss, Bruce W. Hanks
Hearing Site: Louisville, KY
| | $5,297,000 |
| 07-00957 | 07/15/2008 | Claimant(s): Robert Harth, Trustee for Elizabeth Ha
Claimant Lawyers(s): Edward J. Dimon
Respondent(s): Charles Faig, Wachovia Securities, Herbert Roemmele, Trina Mitsch
Respondent Lawyers(s): Ryan P. Smith
Arbitrator(s): Vernon C. Walker, Dennis C. Meyerson, E. William Pastor
Hearing Site: Philadelphia, PA
| | Stipulated Award and Expungement |
