| 05-03288 | 04/23/2009 | Claimant(s): TIG Limited
Claimant Lawyers(s): Marcus L. Stevenson
Respondent(s): Charles O'Connell, Wachovia Securities, Lance Roberts, Arista Enterprises.
Respondent Lawyers(s): Christopher A. Fusselman, Judy Louie
Arbitrator(s): Morris Rubin, Don K. Leufven, William A. Allen
Hearing Site: Houston, TX
|  | $0 |
| 08-00169 | 04/21/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bryant Hayward, Richard Holm, Robert Corona
Respondent Lawyers(s): Charles H. Torres, Timothy N. Will
Arbitrator(s): Suanne M. Parro, Luis D. Rovira, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | |
| 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 |
| 07-01557 | 03/19/2009 | Claimant(s): Betty Zahn, Clarence Koester, Gerard Timothy, Harold Zahn, Ruby Timothy, Deceased, IRA, Betty Zahn IRA, Darlene Brown IRA
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Wachovia Securities, Paula Turner, Capital Growth Financial
Respondent Lawyers(s): Brian J. Schuster, Michael Jacobs, Paula J. Turner, Todd Ratner
Arbitrator(s): Kimberly Renee McBride, Robert J. Bohle, David B. Lacks
Hearing Site: Omaha, NE
| | $177,700 |
| 08-01584 | 03/19/2009 | Claimant(s): Donna Main
Claimant Lawyers(s): Donna Main
Respondent(s): Wachovia Securities, Gerald Morris
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Dennis A. Torres
Hearing Site: Los Angeles, CA
| | $0 |
| 07-03221 | 03/18/2009 | Claimant(s): Michael Vanin
Claimant Lawyers(s): Valerie S. Carter
Respondent(s): Wachovia Securities, Prudential Equity Group
Respondent Lawyers(s): Barry J. Miller, Thomas J. Kavaler
Arbitrator(s): Gerald H. Powers, Patricia Gatto Hechavarria, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | |
| 07-02250 | 03/11/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): John Kendall
Respondent Lawyers(s): Ronald Weil
Arbitrator(s): John M. Eadie, Doug Campbell, Tom Cameron
Hearing Site: Boca Raton, FL
| | |
| 07-02872 | 03/05/2009 | Claimant(s): Douglas Strayer, Julie Strayer
Claimant Lawyers(s): Julie D. Strayer
Respondent(s): Wachovia Securities, John Brady
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Sandra Lee Dolan, Wilbert H. Luck, John Laing Bowles
Hearing Site: Baltimore, MD
| | Stipulated Award and Expungement |
| 08-02037 | 02/26/2009 | Claimant(s): Jessie Goff
Claimant Lawyers(s): Jessie E. Goff
Respondent(s): Wachovia Securities, David Cronan, A.G. Edwards & Sons.
Respondent Lawyers(s): Steven L. Satter
Arbitrator(s): Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | $213 |
| 06-00290 | 02/24/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Craig Johnson
Respondent Lawyers(s): Jeffrey S. Leonard
Arbitrator(s): Deborah C. Bernot, Merton E. Marks, Lee R. Barbakoff
Hearing Site: Phoenix, AZ
| | |
