| 09-00668 | 08/25/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Bruce Bruning
Respondent Lawyers(s): Bruce K. Bruning
Arbitrator(s): John N. Breazeale
Hearing Site: Boca Raton, FL
| | |
| 08-01644 | 08/21/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Richard Hobgood
Respondent Lawyers(s): Steven C. Lawrence
Arbitrator(s): James Edward Banks, Charles K. ReCorr, Michael James Childers
Hearing Site: Raleigh, NC
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| 08-04505 | 07/22/2009 | Claimant(s): George O. Miles and Sharon K. Miles
Claimant Lawyers(s): George O. Miles
Respondent(s): Wachovia Securities, Gerald Rabin, Gregory Ek
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Murray S. Levin, W. Richard Keene, Michael J. Hunter
Hearing Site: Kansas City, MO
|  | $0 |
| 08-02454 | 07/21/2009 | Claimant(s): Donald Carter, Jennifer Carter, Nancy Carter, Lauren Carter Millennium Trust, Lauren Eve Carter Educational Trust, Maxine Half Revocable Trust, Nancy Carter & Kevin Asch Trust, Nancy Carter & Stephanie Asch 1992 Tr, Stephanie Carter Millennium Trust, Stephanie Esther Carter Educational Tr
Claimant Lawyers(s): David J. Feingold
Respondent(s): Wachovia Securities, Kurt Sylvia
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Paul W. Sterman, Joseph Benalt, Gabriela Rif
Hearing Site: Boca Raton, FL
| | $143,000 |
| 09-01271 | 07/21/2009 | Claimant(s): Gilbert Meem, Knight Meem
Claimant Lawyers(s): Howard Meyers
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Martin L. Feinberg
Hearing Site: New York, NY
| | $213 |
| 06-03849 | 07/10/2009 | Claimant(s): Barry Ross
Claimant Lawyers(s): Harvey R. Friedman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Herbert Leslie Greenberg, Michael W. Burnett, George L. Tindall
Hearing Site: Los Angeles, CA
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| 08-00340 | 06/22/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Strand
Respondent Lawyers(s): Jack J. Mazzara
Arbitrator(s): Matthew W. Schlegel, Gregory M. Gendron, Floyd E. Jamison
Hearing Site: Detroit, MI
| | |
| 08-03999 | 06/19/2009 | Claimant(s): Louis Basel, Penelope Basel
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities, Neophytos Ganiaris
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Paul T. Green, Pamela H. Roderick, Judith P. Brooks
Hearing Site: New York, NY
| | $60,000 |
| 08-00397 | 06/18/2009 | Claimant(s): Elizabeth Gayle
Claimant Lawyers(s): J. Mark Brewer
Respondent(s): Wachovia Securities, Ryan Wrobleske, Prudential Equity Group
Respondent Lawyers(s): Retta E. Miller
Arbitrator(s): Dolores M Martin, Richard F. Dole, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | $4,920 |
| 07-01037 | 06/10/2009 | Claimant(s): Charles Bever
Claimant Lawyers(s): Michael McDonough
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Harry L. Sheehy, Michael I. White, Bridget A. Mitchell
Hearing Site: Des Moines, IA
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