| 10-03328 | 11/18/2011 | Claimant(s): Vincent Bellino
Claimant Lawyers(s): Marc D. Ramundo
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Megan Marmion Christensen
Arbitrator(s): Fred S. Pieroni, Ronald R. Niclas, Jonathan Christian Byron
Hearing Site: Newark, NJ
|  | $0 |
| 09-00549 | 11/09/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kurt Halverstadt, Sean Lehmann
Respondent Lawyers(s): Kurt Halverstadt, Sean Lehmann
Arbitrator(s): Mary Curran, Carlos Richard Mangum, Jane F. Gundermann
Hearing Site: San Francisco, CA
| | |
| 09-05944 | 10/13/2011 | Claimant(s): Ingeborg Eaves
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): George G. Kurschner
Hearing Site: Boca Raton, FL
| | Expungement |
| 07-02030 | 10/12/2011 | Claimant(s): Scott Johnson
Claimant Lawyers(s): Joseph F. Myers
Respondent(s): Buddie Ballard, Wachovia Securities
Respondent Lawyers(s): Deirdre Wolff, Hamilton Rial
Arbitrator(s): Louis J. Weber, Priscilla Kim Park, Carleton E. Blankenburg
Hearing Site: Dallas, TX
| | $0 |
| 10-03674 | 09/16/2011 | Claimant(s): Adolph Hozempa, Mary Hozempa
Claimant Lawyers(s): Robert M. Kramer
Respondent(s): Wachovia Securities, Kevin Coyne
Respondent Lawyers(s): James W. Kraus
Arbitrator(s): William R. Gruver, Gregory P. Szuter, James J. Puhala
Hearing Site: Pittsburgh, PA
| | $0 |
| 09-05301 | 08/05/2011 | Claimant(s): Darlene Hill, Darlene B. Hill, Trustee of the
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Wachovia Securities, Thomas Gresham
Respondent Lawyers(s): Patrick J. Whalen
Arbitrator(s): Charles H. Lewis, James A. Hayes, Michelle S. Minor
Hearing Site: Kansas City, MO
| | $260,000 |
| 10-02160 | 08/05/2011 | Claimant(s): Richard Irsay, Steven Irsay
Claimant Lawyers(s): Steven Irsay
Respondent(s): Wachovia Securities, Danica King, Daniel Hughes, Gregory Wells, Woodrow Jones
Respondent Lawyers(s): Danica King, Steven D. Hamilton
Arbitrator(s): Lee H. Goodman, Leonard Arthur Nelson, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $78,343 |
| 10-01209 | 08/03/2011 | Claimant(s): Daniel Kramer
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Wachovia Securities, Michael Cobb
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Craig Scott Bartlett, Rick F. Suppa, Robert T. Costello
Hearing Site: Newark, NJ
| | $60,000 |
| 10-02871 | 07/06/2011 | Claimant(s): Greg Kipple
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Alan J. Blocher, Ronald P. Wertheim, Jason Thomas Laird
Hearing Site: Philadelphia, PA
| | |
| 09-03662 | 06/30/2011 | Claimant(s): Frances Lebrasca
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Barbara Regnitz, Wachovia Securities, Muneera Dawood
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Victor Elting, James F. Carlson, Kenneth N. Adamson
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
