| 09-04323 | 01/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Wesley Fracker
Respondent Lawyers(s): Wesley A. Fracker
Arbitrator(s): John R. Main
Hearing Site: Detroit, MI
| | |
| 07-01736 | 01/05/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David L. Ward
Respondent(s): James Dowd, John McMahon, Morgan Stanley & Co., Mark Brown, Todd Walker
Respondent Lawyers(s): Michael L. Chinitz, Michael L. Rosen
Arbitrator(s): John R. Thompson, Sandor I. Rabkin, Thomas J. Horack
Hearing Site: Boston, MA
| | |
| 09-00742 | 12/30/2009 | Claimant(s): Barbara Russo, Daniel Russo
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Wachovia Securities, Michael Greene
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Larry Kars, Arthur Best, Sharon A. McCloskey
Hearing Site: New York, NY
|  | $0 |
| 08-04559 | 12/23/2009 | Claimant(s): James R. Smith and Carol A. Smith
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Susan A. Logsdon
Arbitrator(s): Mary Ann Tunick, Charles E. Munson, Michael S. Yauch
Hearing Site: Houston, TX
| | $123,324 |
| 07-01400 | 12/22/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Wachovia Securities, Jason Siegel
Respondent Lawyers(s): David L. Ward
Arbitrator(s): William J. Crowe, Gerry E. Feinberg, Aubrey Lees
Hearing Site: New York, NY
| | |
| 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 |
| 08-02137 | 12/18/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kathryn Bedke
Respondent(s): Stifel, Nicolaus & Co.., Frank Brand, George Stukes, Marvin Slaughter, Stephen Jones
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): J. Kirkland Grant, Frank Samuel Perri, John Wescoat Sandlin
Hearing Site: Columbia, SC
| | |
| 08-04431 | 12/15/2009 | Claimant(s): Nicholas McCormack
Claimant Lawyers(s): Nicholas McCormack
Respondent(s): Wachovia Securities, Jeffrey Zelin, Lise Robinson, A.G. Edwards & Sons.
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
| | $340 |
| 09-03903 | 12/15/2009 | Claimant(s): William L. Price (IRA R/O)
Claimant Lawyers(s): William L. Price
Respondent(s): Wachovia Securities, Robert Krebs
Respondent Lawyers(s): Judy Louie
Arbitrator(s): John Patrick Kelly
Hearing Site: San Francisco, CA
| | $213 |
| 07-00680 | 12/10/2009 | Claimant(s): Kevin LeBlanc, Robert Berg
Claimant Lawyers(s): Jim L. Batson
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Robert L. Nisely, Christine Moore, Keith Eric Bettencourt
Hearing Site: New York, NY
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