| 09-03015 | 11/03/2010 | Claimant(s): Josephine Pignato
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Capital One Investment Services Corp
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
|  | $73,281 |
| 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 |
| 09-02513 | 12/21/2009 | Claimant(s): Sherry Elschlager, Terry Elschlager
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Henry G. Plaster
Hearing Site: Charleston, WV
| | $50,000 |
| 07-01557 | 03/19/2009 | Claimant(s): Betty Zahn, Clarence Koester, Gerard Timothy, Harold Zahn, Ruby Timothy, Deceased, IRA, Betty Zahn IRA, Darlene Brown IRA
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Wachovia Securities, Paula Turner, Capital Growth Financial
Respondent Lawyers(s): Brian J. Schuster, Michael Jacobs, Paula J. Turner, Todd Ratner
Arbitrator(s): Kimberly Renee McBride, Robert J. Bohle, David B. Lacks
Hearing Site: Omaha, NE
| | $177,700 |
| 07-00905 | 08/05/2008 | Claimant(s): Cecilia Johnson, Leslie D. Roos Trust, Ruby S. Roos Trust
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Wachovia Securities, Capital Growth Financial
Respondent Lawyers(s): Brian J. Schuster, Michael Jacobs, Todd Ratner
Arbitrator(s): Robert L. Agusto, Jonathan B. Gilbert, Elayne Morgan
Hearing Site: Omaha, NE
| | $680,260 |
| 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 |
