| 07-02321 | 06/30/2008 | Claimant(s): Grace A. Neuner IRA, George G. Neuner and Grace A. Neuner
Claimant Lawyers(s): George G. Neuner
Respondent(s): Alex Ceron, Wachovia Securities
Respondent Lawyers(s): Jeremy M. Colvin, Myles H. Malman
Arbitrator(s): James W. Geiger, Ellen J. Abrams, Andrew F. Greitz
Hearing Site: Ft. Lauderdale, FL
|  | $0 |
| 07-01931 | 05/30/2008 | Claimant(s): Lynn O. Hilliard
Claimant Lawyers(s): Ryan Shaw
Respondent(s): Wachovia Securities, Stuart May
Respondent Lawyers(s): Ryan P. Smith
Arbitrator(s): Carol M. Stoner
Hearing Site: Charleston, WV
| | $0 |
| 06-03014 | 05/19/2008 | Claimant(s): Berniece M Bonebrake Rev Trust
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Wachovia Securities, Rebecca Engle
Respondent Lawyers(s): Brian J. Schuster, Martin M. Berliner, Todd Ratner
Arbitrator(s): Felix Beard Davidson, Thomas C. Lauritsen, Hollie M. Mason
Hearing Site: Omaha, NE
| | $98,709 |
| 06-00085 | 05/05/2008 | Claimant(s): Roger Hanson
Claimant Lawyers(s): Jordan K. Atzoff
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Judy Louie
Arbitrator(s): John W. Parker, Martin Perlberger, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $775,012 |
| 07-01355 | 04/29/2008 | Claimant(s): Adele Nathanson, J&A Nathanson Family Trust
Claimant Lawyers(s): Alex M. Allman
Respondent(s): Chris Haera, Wachovia Securities, Dan Klein
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): James M. Johnstone, Richard Charles Hotvedt, Charles C. Fox
Hearing Site: Baltimore, MD
| | $0 |
| 07-03084 | 04/17/2008 | Claimant(s): Lee Tower
Claimant Lawyers(s): Lee W Tower
Respondent(s): Aldo Lozano, Wachovia Securities, David Altshuler, Mark Panfil
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
| | $213 |
| 04-08117 | 03/12/2008 | Claimant(s): Deborah A. and Nick C. Kreatsoulas
Claimant Lawyers(s): Reggie C. Giffin
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Robert G. Conway, Thomas R. Skulina
Hearing Site: Cleveland, OH
| | $421,031 |
| 04-05795 | 02/22/2008 | Claimant(s): Vincent Bellino
Claimant Lawyers(s): Vincent Bellino
Respondent(s): Wachovia Securities, Frank Kim, John Compton, Patrick Kim
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Cornelius C. Clancy, Bernard Herman, Irene C. Warshauer
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 07-00362 | 01/31/2008 | Claimant(s): Jose Ruelas
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Wachovia Securities, Stephen Wilson
Respondent Lawyers(s): Demian J. Betz, Peter Dolan
Arbitrator(s): John Alen DeRosa, Robert W. Vernon, Frank L. Wolf
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02263 | 01/23/2008 | Claimant(s): Lorraine Ecker and Warren Ecker
Claimant Lawyers(s): Lorraine Ecker
Respondent(s): Wachovia Securities
Respondent Lawyers(s): David J. Rice
Arbitrator(s): Stan West
Hearing Site: Boca Raton, FL
| | $163 |
