| 09-05626 | 04/02/2012 | Claimant(s): Eileen Boutin
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Wachovia Securities, Donald Van De Steene
Respondent Lawyers(s): Brian Witus, Stuart H. Deming
Arbitrator(s): Timothy J. Currier, Barry Goldman, Lawrence George Kloth
Hearing Site: Detroit, MI
|  | $50,000 |
| 09-02191 | 03/28/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Jan Preece Gaddis, Billy H. Ware, Charles W. Adams
Hearing Site: Oklahoma City, OK
| | |
| 10-03700 | 03/19/2012 | Claimant(s): Mark Wilton
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Coren Stern
Arbitrator(s): Earl S. Schwarz, Bruce K. Isenberg, Perry Earl Phillips
Hearing Site: Boca Raton, FL
| | $0 |
| 09-01518 | 03/13/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Soukkay Keomysy
Respondent Lawyers(s): Adam A. Gillette
Arbitrator(s): Emily F. Seesel, Jeffrey W. Jacobs, John R. Lepley
Hearing Site: Minneapolis, MN
| | |
| 09-01683 | 03/05/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jason Warner
Respondent(s): Robert Bailey
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): John G. Manley, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
| | |
| 10-05260 | 02/16/2012 | Claimant(s): Nicki Lynn Dimopoulos
Claimant Lawyers(s): Evangelos Dimopoulos
Respondent(s): Wachovia Securities, Richard Dobler
Respondent Lawyers(s): Deirdre C. Wolf
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | $5,000 |
| 10-03425 | 02/14/2012 | Claimant(s): Francis Hempfling
Claimant Lawyers(s): Layne Verebay
Respondent(s): Wachovia Securities, Eric Nilson
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Janet N. Smiles, Sydney E. Blum
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 09-03569 | 01/20/2012 | Claimant(s): Lyle W. Swenson, Jr. & Michelle Swenson
Claimant Lawyers(s): Peter K. Rundle
Respondent(s): Wachovia Securities, Craig Riley
Respondent Lawyers(s): Craig Alan Riley, G. Thomas Fleming
Arbitrator(s): Robert A. Lombardi, Kenneth E. Kreh, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $0 |
| 11-00416 | 01/17/2012 | Claimant(s): Martha Thomas, Robert Thomas
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | $24,880 |
| 09-02852 | 12/12/2011 | Claimant(s): Mark Sidell
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): David M. Levine, Will Murphy, Barry Rabinowitz
Hearing Site: Boca Raton, FL
| | |
