| 10-01209 | 08/03/2011 | Claimant(s): Daniel Kramer
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Wachovia Securities, Michael Cobb
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Craig Scott Bartlett, Rick F. Suppa, Robert T. Costello
Hearing Site: Newark, NJ
|  | $60,000 |
| 09-03662 | 06/30/2011 | Claimant(s): Frances Lebrasca
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Barbara Regnitz, Wachovia Securities, Muneera Dawood
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Victor Elting, James F. Carlson, Kenneth N. Adamson
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 10-01997 | 06/29/2011 | Claimant(s): Anne Bradshaw
Claimant Lawyers(s): Jeff S. Daniel
Respondent(s): Wachovia Securities, Nancy Lipham
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): John G. Manley
Hearing Site: Birmingham, AL
| | $43,579 |
| 10-04510 | 06/28/2011 | Claimant(s): Jonathan Landow
Claimant Lawyers(s): Bernard Nathan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, George Gordon, Walter Anderson
Respondent Lawyers(s): Erin Durba, Walter Randolph Anderson
Arbitrator(s): Michael E. Olney, Marguerite B. Filson, Abigail J. Pessen
Hearing Site: New York, NY
| | $0 |
| 09-06496 | 06/17/2011 | Claimant(s): Metal Finishing Association of S. CA
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities, Evergreen Investment Services.
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Robert D. Sussin, George L. Tindall, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 08-03635 | 06/07/2011 | Claimant(s): Loren Hulber
Claimant Lawyers(s): Joel D. Feldman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): E. William Pastor, Peter D. Shelp, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | $0 |
| 08-03810 | 05/25/2011 | Claimant(s): Spitz Family Partnership L.P.
Claimant Lawyers(s): Christopher A. Bacotti
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joan M. Traub, Joshua Mark Zucker, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 09-04284 | 04/07/2011 | Claimant(s): John Mills, Judith Mills
Claimant Lawyers(s): Dennis H. Walters
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): Paul R. Meyer, Lawrence R. Mills, Parker Arthur Montgomery
Hearing Site: Seattle, WA
| | $0 |
| 09-06972 | 03/25/2011 | Claimant(s): Judy Walters
Claimant Lawyers(s): Judy K Walters
Respondent(s): Wachovia Securities, Robert Moler
Respondent Lawyers(s): Daniel J. Gilfarb
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
| | $0 |
| 09-07137 | 03/24/2011 | Claimant(s): Estate of Elsie Caldonia Flowers
Claimant Lawyers(s): J. Don Gordon
Respondent(s): Wachovia Securities, Johnnie Cadenhead, A.G. Edwards & Sons.
Respondent Lawyers(s): Johnnie Cadenhead, Will S. Montgomery
Arbitrator(s): Bill H. Brister, Andrea U. Calve, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
| | $292,953 |
