| 08-01920 | 04/02/2009 | Claimant(s): Graham Williamson
Claimant Lawyers(s): Graham S. Williamson
Respondent(s): Monica Malhoit, Prudential Equity Group
Respondent Lawyers(s): Carole A. McDonald, William R. Ahern
Arbitrator(s): Burton L. Ansell
Hearing Site: Detroit, MI
|  | $0 |
| 05-06113 | 02/11/2009 | Claimant(s): Ruth Slechta, Libor Slechta Trust UA DTD 3/25/96
Claimant Lawyers(s): Sandra J. Budnick
Respondent(s): Wachovia Securities, Dennis Yetter, Prudential Equity Group, Yetter & Yetter Investment Group
Respondent Lawyers(s): Brian Witus, Demian J. Betz
Arbitrator(s): Nancy R. Papo, John P. Gouttiere, Paul Sislin
Hearing Site: Detroit, MI
| | $375 |
| 08-00408 | 11/06/2008 | Claimant(s): Ruth Farr
Claimant Lawyers(s): William L. White
Respondent(s): Wachovia Securities, Prudential Equity Group, UBS Services USA LLC
Respondent Lawyers(s): Dan A. Rosenbaum, Demian J. Betz, Kenneth Fuchs
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | $213 |
| 07-03290 | 11/04/2008 | Claimant(s): Patricia Gorski
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Brian D. Elias
Arbitrator(s): Robert N. Duggan, Mitchel Weiss, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | $0 |
| 06-01656 | 03/28/2008 | Claimant(s): Brenna Lynn Michaels, Cust. Acct., Kevin J. Moody, Cus. Acct, Kyle Moody, Kevin J. Moody & Richard Moody, Ryan Moody and Richard Moody, Richard J. Moody Revocable Living Tr., Richard J. Moody, Rev.Liv.Tr.
Claimant Lawyers(s): A. Daniel Woska
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Edwin E O'Brien, Carroll O. Johnson, Mary Day Smelser
Hearing Site: Oklahoma City, OK
| | $0 |
| 06-05397 | 02/22/2008 | Claimant(s): Leona Levitan, Arleen Bernstein, etal.
Claimant Lawyers(s): Scott M. Zucker
Respondent(s): Daniel OShea, David Pike, Douglas Damrow, Prudential Equity Group
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Guy K. Stewart, Sydney I. Josepher, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 04-08200 | 11/09/2007 | Claimant(s): Barbara Davis
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Emmett Johnson, Prudential Equity Group, Warren Johnson
Respondent Lawyers(s): James M. McCown, Retta Miller
Arbitrator(s): James E. Lane, Daniel J. Pagnano, Edmund Herbert Hecht
Hearing Site: Houston, TX
| | $130,000 |
| 07-01120 | 11/02/2007 | Claimant(s): Linda Chandler
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jack G. Lerner
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
| | $0 |
| 06-04655 | 09/17/2007 | Claimant(s): Richard Ford
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Andrew Samalin, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Daniel B. Berkson, Leah G. Rabinowitz, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
| 03-04728 | 09/07/2007 | Claimant(s): Amin Merchant, Apex Trading House
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Edward So, Charles Schwab & Co.., Prudential Equity Group
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jarrott T. Miller, Richard L. Rubin, Mario Henry Barsotti
Hearing Site: San Francisco, CA
| | $0 |
