| 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 |
| 09-00110 | 08/11/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Martin Vanamen
Respondent Lawyers(s): Martin Johanne Vanamen
Arbitrator(s): Thomas D. Tays, David M. Seidner, Suzanne M. Dallimore, P.C.
Hearing Site: Salt Lake City, UT
| | |
| 07-02623 | 08/10/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): John E. MacDonald
Respondent(s): John Zannakis
Respondent Lawyers(s): Jeffrey S. Stewart
Arbitrator(s): John J. Jordan, Steven T. Stern, Robert C. Scanlan
Hearing Site: Philadelphia, PA
| | |
| 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 |
| 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 |
| 09-04883 | 07/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Blake Daniels
Respondent(s): Hubert Runnels
Respondent Lawyers(s): Hubert L. Runnels
Arbitrator(s): Eli Bensky
Hearing Site: Jackson, MS
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