| 08-04797 | 06/09/2009 | Claimant(s): Est. of Barbara D. Whitener, by Susan Pa
Claimant Lawyers(s): Susan W. Parker
Respondent(s): Wachovia Securities, Jason Haney
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
|  | $3,996 |
| 08-00530 | 06/04/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Charles Griffin
Respondent Lawyers(s): Charles C. Griffin
Arbitrator(s): Michael Lloyd Weisel, Frank Samuel Perri, John E. Baynum
Hearing Site: Raleigh, NC
| | |
| 08-04339 | 06/04/2009 | Claimant(s): Darria Kosich
Claimant Lawyers(s): Darria Elizabeth Kosich
Respondent(s): Wachovia Securities, David Neison
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Ralph B. Perry
Hearing Site: Los Angeles, CA
| | $0 |
| 08-02004 | 06/01/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Joseph Connor
Respondent Lawyers(s): Joseph A. Connor
Arbitrator(s): Susan A. Mathews, Baunita M. Greer, Jehangir Fuller Varzi
Hearing Site: Washington, DC
| | |
| 08-00029 | 05/29/2009 | Claimant(s): Craig Roberts, Pennie Roberts, Pennie L. Roberts Rev. Trust
Claimant Lawyers(s): A. Brian McIntosh
Respondent(s): Wachovia Securities, Patrick Sowers, Scottrade.
Respondent Lawyers(s): Andrew C. Small, Brent J. Burtin
Arbitrator(s): W. Pat Conners, John S. Weisheit, Edmund P. Pultinas
Hearing Site: Cincinnati, OH
| | $0 |
| 08-01606 | 05/26/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Nicole Stadelmaier
Respondent(s): Gregory Ricker
Respondent Lawyers(s): Grover S. Parnell, Jr.
Arbitrator(s): Alan M. Schankel, Felix A. Meschini, John T. Hausladen
Hearing Site: Philadelphia, PA
| | |
| 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 |
| 08-03057 | 05/06/2009 | Claimant(s): Ralph Plechner
Claimant Lawyers(s): Ralph E. Plechner
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
| | $0 |
| 08-02780 | 04/29/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): William Dahm
Respondent Lawyers(s): William C. Dahm
Arbitrator(s): Edward T. Borer, Peter D. Shelp, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
| | |
| 08-02515 | 04/28/2009 | Claimant(s): Pearl Marsh
Claimant Lawyers(s): Frederick K. Sharpless
Respondent(s): Wachovia Securities, Ronald Clinard
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Susan L. Luck, Mary B. Campbell, Denise L. Presley
Hearing Site: Charlotte, NC
| | $0 |
