| 11-02431 | 12/20/2012 | Claimant(s): Irvin Welch
Claimant Lawyers(s): Jan Graham
Respondent(s): Wachovia Securities, Dwayne Alpers, Louis Navellier
Respondent Lawyers(s): Joseph E. Floren, Philip A. McLeod
Arbitrator(s): George J. Karlsven, Joan M. Traub, Michael G. Clark
Hearing Site: Salt Lake City, UT
|  | Expungement |
| 09-04874 | 11/15/2012 | Claimant(s): Henry Tutek
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Malcolm J. Irving, Michael E. Scullin, Harold Yaskin
Hearing Site: Philadelphia, PA
| | $0 |
| 10-03052 | 07/30/2012 | Claimant(s): Isabel Giacomantonio, Isabel Giacomantonio IRA, Isabel Giacomantonio Trust dtd 10/13/09
Claimant Lawyers(s): Joseph S. Spiegel
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Robert Morian
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Barry Goldman, Norman A. Samson, Benjamin A. Kerner
Hearing Site: Detroit, MI
| | $49,500 |
| 11-00411 | 07/27/2012 | Claimant(s): Eileen Warren
Claimant Lawyers(s): Ronald R. Levine
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Dennis Perry, Judith Bovitz, Victoria Miller
Respondent Lawyers(s): Yoonsun Chung
Arbitrator(s): Charles Kleinbaum, Catherine Ladnier, Stephen T. Rodriguez
Hearing Site: Albany, NY
| | Expungement |
| 11-03007 | 07/26/2012 | Claimant(s): Linda Baker, Thomas Baker
Claimant Lawyers(s): C. Maison Heidelberg, Ginny Y. Kennedy
Respondent(s): Wachovia Securities Financial Network, Wachovia Securities
Respondent Lawyers(s): David A. Picon, Erin Durba
Arbitrator(s): Robert D. Sussin, John E. Ohashi, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 09-02090 | 07/12/2012 | Claimant(s): John Simmons, Scott Carle
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Wachovia Securities, Gail Brown, Morgan Keegan & Company., Randy Ross
Respondent Lawyers(s): David A. Picon, Matthew B. Baum, Wayne Hillis
Arbitrator(s): Brian Seth Orol, Leona Beane, Karen E. Sapp
Hearing Site: Raleigh, NC
| | $0 |
| 09-03913 | 04/03/2012 | Claimant(s): Marvin Getlan
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, UBS Financial Services Inc.
Respondent Lawyers(s): Keith Olin, Tracy L. Gerber
Arbitrator(s): Linda M. Granata, Norman L. Weiss, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL
| | Expungement |
| 07-00666 | 04/02/2012 | Claimant(s): Alan Grayson, AMG Trust
Claimant Lawyers(s): Eric M. Rolinson, Tucker H. Byrd
Respondent(s): Wachovia Securities
Respondent Lawyers(s): David A. Picon
Arbitrator(s): Richard K. Wilson, Gary F. Lang, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $852,000 |
| 09-05626 | 04/02/2012 | Claimant(s): Eileen Boutin
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Wachovia Securities, Donald Van De Steene
Respondent Lawyers(s): Brian Witus, Stuart H. Deming
Arbitrator(s): Timothy J. Currier, Barry Goldman, Lawrence George Kloth
Hearing Site: Detroit, MI
| | $50,000 |
| 10-03700 | 03/19/2012 | Claimant(s): Mark Wilton
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Coren Stern
Arbitrator(s): Earl S. Schwarz, Bruce K. Isenberg, Perry Earl Phillips
Hearing Site: Boca Raton, FL
| | $0 |
