| 10-00742 | 07/30/2010 | Claimant(s): Larry Arrigoni
Claimant Lawyers(s): Amy J. Ihlan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Mark Fautsch
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
|  | $28,583 |
| 09-04887 | 07/23/2010 | Claimant(s): James Shuel
Claimant Lawyers(s): Thomas H Tucker
Respondent(s): Wachovia Securities, Michael Ceccon
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): Richard J. Grahn, B. John Dill, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $39,000 |
| 09-07236 | 07/20/2010 | Claimant(s): Ronald Smith, Ronald S Smith A Law Corporation
Claimant Lawyers(s): Ronald S. Smith
Respondent(s): Wachovia Securities Financial Network, Wachovia Securities, Wells Fargo Advisors, Michael Scher
Respondent Lawyers(s): William S. Port
Arbitrator(s): Mary L. Williams
Hearing Site: Los Angeles, CA
| | $38 |
| 09-03489 | 07/12/2010 | Claimant(s): Alexander Moskin and Claire Moskvin
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Carlos Ricca
Arbitrator(s): Walter C. Parrish, S. Charles Tabak, Stanley David Goldman
Hearing Site: Newark, NJ
| | $90,000 |
| 09-01766 | 07/08/2010 | Claimant(s): Gilbert MacGregor
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Simone Sicola
Hearing Site: Orlando, FL
| | $20,000 |
| 08-02041 | 06/24/2010 | Claimant(s): Milton Seymour
Claimant Lawyers(s): Mack A. Bethea
Respondent(s): Wachovia Securities, Michael Odom
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Robert C. Upton, Donald Milo Helton, Douglas E. Miller
Hearing Site: Jackson, MS
| | $375 |
| 09-04335 | 06/14/2010 | Claimant(s): The Marvin McCray IRA, The McCray Living Trust UA DTD 07/30/82
Claimant Lawyers(s): Linda Hayes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Thomas C. McNally, Juleanne A. Thiebaut, Gail Killefer
Hearing Site: San Francisco, CA
| | $0 |
| 09-04514 | 06/10/2010 | Claimant(s): Virginia Kaye Corley
Claimant Lawyers(s): Barry D. Broome
Respondent(s): Wachovia Securities, James Stanley, Kathy Daisey, Kim Thomas, Kristin Sarafinis, Luther Reames, Mark Moore, Scott Tittle, Steve Kelleher
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Alfred Lee Dingler
Hearing Site: Atlanta, GA
| | $0 |
| 08-04373 | 06/04/2010 | Claimant(s): Marina Braun
Claimant Lawyers(s): Justine Fischer
Respondent(s): Wachovia Securities, Julian Albert
Respondent Lawyers(s): Demian J. Betz, Michael J. Abbott
Arbitrator(s): Clyde Fahlman, William J. Chambers, G. E. Craig Doupe
Hearing Site: Portland, OR
| | $0 |
| 08-03219 | 05/27/2010 | Claimant(s): Anne K. and William L. Porter Foundation, Arlington Properties., Kinport Corporation, WRK, Mary S. Kinder Trust
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Larry R. Trussell, James C. Morrow, Christopher Daniel Gryzen
Hearing Site: Omaha, NE
| | $391,375 |
