08-00824 | 05/22/2009 | Claimant(s): David Yashon Claimant Lawyers(s): David Yashon Respondent(s): Brent Markley, Michael O'Dell, A.G. Edwards & Sons. Respondent Lawyers(s): Deirdre Wolff, James C. Browning Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, Erick R. Zanner Hearing Site: Columbus, OH
| | $46,000 |
08-01002 | 05/20/2009 | Claimant(s): The Estate of Mary A. Musil Claimant Lawyers(s): Richard A. Kutche Respondent(s): Wachovia Securities, A.G. Edwards & Sons., Prudential Equity Group Respondent Lawyers(s): James C. Browning, Kenneth Fuchs Arbitrator(s): Dean J. Dietrich Hearing Site: San Francisco, CA
| | $36,717 |
08-00956 | 04/13/2009 | Claimant(s): Elyse Masterson, Robert Masterson, Masterson Family, Blake Dillion Masterson, CUS, James Brody Masterson Claimant Lawyers(s): Randall K. Calvert Respondent(s): Azmi "Andy" Fakhoury, Wachovia Securities Respondent Lawyers(s): James C. Browning Arbitrator(s): Donald M. Lehman, Preston A. Trimble, Jan Preece Gaddis Hearing Site: Oklahoma City, OK
| | $89,338 |
08-00236 | 03/10/2009 | Claimant(s): Bruce Graves Claimant Lawyers(s): Steele T. Williams Respondent(s): A.G. Edwards & Sons., Robert Kahne Respondent Lawyers(s): James C. Browning Arbitrator(s): Michael A. Lynch, William F. Glaser, Kenneth R. Starr Hearing Site: Tampa, FL
| | $0 |
08-00117 | 01/21/2009 | Claimant(s): Daniel J. Day Living Trust, Diane D. Arnold Living Trust Claimant Lawyers(s): William B. Young Respondent(s): Wachovia Securities Respondent Lawyers(s): James C. Browning Arbitrator(s): Robert J. Walter, Benjamin L. Abramowitz, Clarence B. Johnson, CLU, ChFC Hearing Site: Orlando, FL
| | $0 |
07-01870 | 10/09/2008 | Claimant(s): Joan Skrzycki, Robert Skrzycki Claimant Lawyers(s): Daniel R. Flebotte Respondent(s): Wachovia Securities Respondent Lawyers(s): James C. Browning Arbitrator(s): Robert T. Allen, David P. McDuffee, George W. McKellar Hearing Site: Raleigh, NC
| | $0 |
07-01100 | 03/28/2008 | Claimant(s): The Shorr Family Trust Claimant Lawyers(s): Ronald W. Karolyi Respondent(s): A.G. Edwards & Sons., Terry Dean Respondent Lawyers(s): James C. Browning Arbitrator(s): Robert S. Zuckerman, Michael E. Pearson, Richard E. Miley Hearing Site: Charlotte, NC
| | $0 |
07-02329 | 03/25/2008 | Claimant(s): Dave Schutz Claimant Lawyers(s): Steven M. Green Respondent(s): Mark Gundy, A.G. Edwards & Sons. Respondent Lawyers(s): James C. Browning Arbitrator(s): Janice L. Sperow Hearing Site: San Diego, CA
| | $425 |
05-05902 | 02/08/2008 | Claimant(s): Larry Parker Claimant Lawyers(s): Thomas M. Haskins Respondent(s): Citigroup Global Markets., A.G. Edwards & Sons. Respondent Lawyers(s): James C. Browning, William A. Hohauser Arbitrator(s): Dennis Dowd, Gerhard L. Schopen, Suanne M. Parro Hearing Site: Denver, CO
| | $0 |
07-01577 | 11/02/2007 | Claimant(s): Tom W. White & Jane C. White JT TEN Claimant Lawyers(s): Tom William White Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): James C. Browning Arbitrator(s): Terry F. Peppard Hearing Site: Milwaukee, WI
| | $0 |