| 07-02485 | 09/24/2008 | Claimant(s): Raymond Curtin
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Ned B. Young, Kimberly A. Gilmour, Charles W. Lavender
Hearing Site: Ft. Lauderdale, FL
| | |
| 07-02417 | 09/11/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Bruce Myers
Respondent Lawyers(s): Bruce W. Myers
Arbitrator(s): William A. Husa, Charles M. Ackerman, Alan Reginald Doe
Hearing Site: Seattle, WA
| | |
| 05-05159 | 09/04/2008 | Claimant(s): Michael Holland, William Holland
Claimant Lawyers(s): Karen A. Batcher
Respondent(s): Wachovia Securities, Eugene Ingargiola
Respondent Lawyers(s): Joseph R. Becerra
Arbitrator(s): Alan Stamm, James H. Bowersox, Gerald F. Corrigan
Hearing Site: San Diego, CA
| | |
| 06-03260 | 08/19/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Haran Brucker
Respondent Lawyers(s): Jenice L. Malecki
Arbitrator(s): Arthur T. Jacobs, Kevin B. Naughten, Joan Ilivicky
Hearing Site: New York, NY
| | |
| 07-02921 | 08/08/2008 | Claimant(s): Anthony Russo, Christopher Drake, David Luna, Stifel, Nicolaus & Co.., Donald Johns, Edward Gutierrez, Herbert Keyser, Jon Bostrom, Linda Swart-Scipione, Lisa Evans, Lisa McCrea, Manuel Lozano, Michael Nielsen, Raymond Reed
Claimant Lawyers(s): Joseph A. Dougherty, Kenneth C. Mennemeier
Respondent(s): Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Keith D. Patten, Robert W. Dempsey, Jeffrey N. Sullivan
Hearing Site: St. Louis, MO
| | |
| 07-00905 | 08/05/2008 | Claimant(s): Cecilia Johnson, Leslie D. Roos Trust, Ruby S. Roos Trust
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Wachovia Securities, Capital Growth Financial
Respondent Lawyers(s): Brian J. Schuster, Michael Jacobs, Todd Ratner
Arbitrator(s): Robert L. Agusto, Jonathan B. Gilbert, Elayne Morgan
Hearing Site: Omaha, NE
|  | $680,260 |
| 07-01729 | 07/30/2008 | Claimant(s): Gayle Patton, Ira Patton
Claimant Lawyers(s): Jeff S. Daniel
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Valerie J. Hamm, Allan Weiss, Bruce W. Hanks
Hearing Site: Louisville, KY
| | $5,297,000 |
| 07-01349 | 07/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Paul Hitchcock
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Alexander L. Mazour, Paul A. D. Evans, Terri Coster Boesch
Hearing Site: San Francisco, CA
| | |
| 07-00957 | 07/15/2008 | Claimant(s): Robert Harth, Trustee for Elizabeth Ha
Claimant Lawyers(s): Edward J. Dimon
Respondent(s): Charles Faig, Wachovia Securities, Herbert Roemmele, Trina Mitsch
Respondent Lawyers(s): Ryan P. Smith
Arbitrator(s): Vernon C. Walker, Dennis C. Meyerson, E. William Pastor
Hearing Site: Philadelphia, PA
| | Stipulated Award and Expungement |
| 06-04968 | 07/02/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Sergio Negrini
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Syma S. Kasdin, Richard J. Kaplan, Norman E. Heyman
Hearing Site: Boca Raton, FL
| | |
