| 09-02435 | 10/15/2010 | Claimant(s): Seymour L. Goldman, executor of the Esta
Claimant Lawyers(s): Mark D. Risk
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Marilyn J. Salzman, Julian F. Santos, Renee La Verne Ross CFP
Hearing Site: New York, NY
|  | $0 |
| 08-04144 | 10/06/2010 | Claimant(s): Ann Myers
Claimant Lawyers(s): Wayne E. Batcheler
Respondent(s): Alan Knisley, Wachovia Securities, Edward Mercier
Respondent Lawyers(s): Alan S. Rafterman, Angela A. Turiano
Arbitrator(s): Annette B. Meyers, Michelle Jacobowitz Gallagher, Judith C. Greene
Hearing Site: New York, NY
| | $0 |
| 09-05756 | 10/05/2010 | Claimant(s): Charlene Haddock
Claimant Lawyers(s): Jeffrey E. Taylor
Respondent(s): Wachovia Securities, Stacey Haddock, Prudential Securities.
Respondent Lawyers(s): Stacey Haddock, Stephanie Collett Sparks
Arbitrator(s): Robert Steven Haught
Hearing Site: Oklahoma City, OK
| | $160,680 |
| 09-02899 | 10/05/2010 | Claimant(s): Gary Harris
Claimant Lawyers(s): Gary G. Harris
Respondent(s): Wachovia Securities, Jeremy Bishop
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Thomas C. Harris
Hearing Site: Columbia, SC
| | $0 |
| 09-04136 | 09/14/2010 | Claimant(s): Maimoona Mirdad
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Donald S. Green
Hearing Site: San Francisco, CA
| | $49,000 |
| 09-02018 | 09/13/2010 | Claimant(s): Donna Appleby
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Bruce Pomerantz, Wachovia Securities
Respondent Lawyers(s): Matthew E. Wolper, Robert A. W. Boraks
Arbitrator(s): Susan M. Dunning, Stuart Harvey Ziegler, Walter A. Bajak
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-02748 | 08/23/2010 | Claimant(s): James Boyer
Claimant Lawyers(s): Rew R. Goodenow
Respondent(s): Wachovia Securities, Eric Smith
Respondent Lawyers(s): G Thomas Fleming
Arbitrator(s): Paul D. Gutierrez, Mark Aaron Jones, Patrick Owen King
Hearing Site: Reno, NV
| | $25,000 |
| 09-00807 | 08/19/2010 | Claimant(s): Austin Frishman, Barbara Frishman
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, FMSBonds.
Respondent Lawyers(s): Keith Olin, Sydney A. Marks
Arbitrator(s): S. William Gersten, Charles Hoffman, Jay E. Eckhaus
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 08-01631 | 08/18/2010 | Claimant(s): Andrew Sims, Mark Sims, Patricia Sims
Claimant Lawyers(s): Christopher M. DeVito
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Jeffrey M. Bain, Richard S. Hines, Shelly A. Goering
Hearing Site: Cleveland, OH
| | $0 |
| 09-03970 | 08/10/2010 | Claimant(s): Anthony Fortuna, Frances Fortuna
Claimant Lawyers(s): Eric S. Richards
Respondent(s): Wachovia Securities, Craig Herrington
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Kenneth Rochlen, Martin I. Reisig, Linda M. Foster-Wells
Hearing Site: Detroit, MI
| | $0 |
