| 07-00893 | 12/16/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Todd Ratner
Respondent(s): John Kuehl
Respondent Lawyers(s): David W. Dow
Arbitrator(s): Jerry H. Friedland, Paul T. Sachs, Jeffrey Charles Evanello
Hearing Site: Phoenix, AZ
| | |
| 07-03487 | 12/10/2008 | Claimant(s): Vincent P. Miraglia, MD, PA, Trustee
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, James Chris Mills
Hearing Site: Boca Raton, FL
|  | $0 |
| 05-05018 | 12/08/2008 | Claimant(s): Jason Laney
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Christohper A. Stecher
Arbitrator(s): Juleanne A. Thiebaut, Mary H. Evans
Hearing Site: San Francisco, CA
| | |
| 08-00718 | 12/04/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Diane Spencer
Respondent Lawyers(s): Christopher M. Devito
Arbitrator(s): Gary R. Miles, Robert P. Weisberger, Michael Brian McCord
Hearing Site: Cleveland, OH
| | |
| 08-00767 | 12/04/2008 | Claimant(s): John A. and Georgene M. Caruso
Claimant Lawyers(s): Russell F. Waxman
Respondent(s): Wachovia Securities, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan Rafterman, Coren H. Stern
Arbitrator(s): Matthew Loguercio, Roy L. Weiss, William P. Laino
Hearing Site: New York, NY
| | $0 |
| 07-03105 | 11/26/2008 | Claimant(s): Alvin McQuinn, Alvin E. McQuinn FLITE Trust
Claimant Lawyers(s): John Cotter, Mark J. Briol
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Lawrence J. Welte, Robert S. Burk, Daniel D. Hill
Hearing Site: Minneapolis, MN
| | $250,000 |
| 08-00751 | 11/13/2008 | Claimant(s): Jacqueline F. and Adam P. Paulausky
Claimant Lawyers(s): Jacquline F. Paulausky
Respondent(s): Wachovia Securities, Todd Griffith
Respondent Lawyers(s): William Port
Arbitrator(s): J. Maxwell Williams
Hearing Site: Clearwater, FL
| | $163 |
| 07-03227 | 11/12/2008 | Claimant(s): Bayan Jamous, Feda Jamous
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): A.J. Keyser, Wachovia Securities, Robert Schneller
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): John J. Muldowney, Donald B. Vaden, Arthur B. O'Connell
Hearing Site: Richmond, VA
| | $525,000 |
| 08-00408 | 11/06/2008 | Claimant(s): Ruth Farr
Claimant Lawyers(s): William L. White
Respondent(s): Wachovia Securities, Prudential Equity Group, UBS Services USA LLC
Respondent Lawyers(s): Dan A. Rosenbaum, Demian J. Betz, Kenneth Fuchs
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | $213 |
| 07-01870 | 10/09/2008 | Claimant(s): Joan Skrzycki, Robert Skrzycki
Claimant Lawyers(s): Daniel R. Flebotte
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert T. Allen, David P. McDuffee, George W. McKellar
Hearing Site: Raleigh, NC
| | $0 |
