| 08-00376 | 02/13/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Martin Hensley
Respondent Lawyers(s): Martin D. Hensley
Arbitrator(s): Jack C. Aycock, Harold Engelman, David P. McDuffee
Hearing Site: Raleigh, NC
| | |
| 07-03256 | 02/12/2009 | Claimant(s): Alan Gildenberg
Claimant Lawyers(s): Jay A. Schwartz
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Marvin I. Horowitz, Norman A. Samson, Earlene R. Baggett-Hayes
Hearing Site: Detroit, MI
| | |
| 08-02610 | 02/12/2009 | Claimant(s): Dr. Robert B. Richards, Estee L. Richards
Claimant Lawyers(s): Robert B. Richards
Respondent(s): Wachovia Securities, Diego Velasquez
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Marie G. Peterson
Hearing Site: Ft. Lauderdale, FL
|  | $425 |
| 05-06113 | 02/11/2009 | Claimant(s): Ruth Slechta, Libor Slechta Trust UA DTD 3/25/96
Claimant Lawyers(s): Sandra J. Budnick
Respondent(s): Wachovia Securities, Dennis Yetter, Prudential Equity Group, Yetter & Yetter Investment Group
Respondent Lawyers(s): Brian Witus, Demian J. Betz
Arbitrator(s): Nancy R. Papo, John P. Gouttiere, Paul Sislin
Hearing Site: Detroit, MI
| | $375 |
| 08-00733 | 02/05/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David Ward
Respondent(s): Timothy McNamara
Respondent Lawyers(s): Roger S. Davis
Arbitrator(s): Sandor I. Rabkin, Dennis M. Cronin, Charles A. Goglia
Hearing Site: Boston, MA
| | |
| 06-03292 | 01/28/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Robert Peck
Respondent Lawyers(s): Robert Peck
Arbitrator(s): Robert B. Kane, Nelson J. Brous, Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 08-00117 | 01/21/2009 | Claimant(s): Daniel J. Day Living Trust, Diane D. Arnold Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert J. Walter, Benjamin L. Abramowitz, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | $0 |
| 08-02500 | 01/13/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Sandra Pope
Respondent Lawyers(s): Sandra Pope
Arbitrator(s): Dallas Whitney Coffman
Hearing Site: Hartford, CT
| | |
| 07-01395 | 12/19/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Thomas
Respondent Lawyers(s): John A. Bender
Arbitrator(s): Michael R. Scott, Lawrence E. Little, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
| | |
| 08-00805 | 12/19/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Robert Berry
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): David J. Capriotti
Hearing Site: Cleveland, OH
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