| 10-01997 | 06/29/2011 | Claimant(s): Anne Bradshaw
Claimant Lawyers(s): Jeff S. Daniel
Respondent(s): Wachovia Securities, Nancy Lipham
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): John G. Manley
Hearing Site: Birmingham, AL
|  | $43,579 |
| 10-04510 | 06/28/2011 | Claimant(s): Jonathan Landow
Claimant Lawyers(s): Bernard Nathan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, George Gordon, Walter Anderson
Respondent Lawyers(s): Erin Durba, Walter Randolph Anderson
Arbitrator(s): Michael E. Olney, Marguerite B. Filson, Abigail J. Pessen
Hearing Site: New York, NY
| | $0 |
| 09-06496 | 06/17/2011 | Claimant(s): Metal Finishing Association of S. CA
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities, Evergreen Investment Services.
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Robert D. Sussin, George L. Tindall, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 09-03809 | 06/16/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jason Warner
Respondent(s): Ciro Cavazos
Respondent Lawyers(s): Ciro Gilbert Cavazos
Arbitrator(s): Herb Schwartz, Elmo E. Wedderburn, Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | |
| 08-03635 | 06/07/2011 | Claimant(s): Loren Hulber
Claimant Lawyers(s): Joel D. Feldman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): E. William Pastor, Peter D. Shelp, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | $0 |
| 07-02619 | 06/06/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): John Ryan
Respondent Lawyers(s): Jeffrey E. Stark
Arbitrator(s): Judith E. Gross, Fred D. Nicolois, Walter John Engels
Hearing Site: New York, NY
| | |
| 08-03810 | 05/25/2011 | Claimant(s): Spitz Family Partnership L.P.
Claimant Lawyers(s): Christopher A. Bacotti
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joan M. Traub, Joshua Mark Zucker, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 08-03500 | 05/03/2011 | Claimant(s): Joseph Bardzilowski
Claimant Lawyers(s): Thomas H. Chiacchio
Respondent(s): Wachovia Securities, Francis Buckley, Harry Sze, Lawrence Parsons
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Cynthia H. Plishtin, John R. Buehler, Alan Shaw
Hearing Site: Newark, NJ
| | |
| 09-02587 | 04/15/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael Angel
Respondent Lawyers(s): Michael Angel
Arbitrator(s): Thomas W. Borden, Paul D. Allen, James D. Murray
Hearing Site: San Francisco, CA
| | |
| 09-02124 | 04/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Frank M. Romano, William M. Lacy, Charles S. Chester
Hearing Site: Houston, TX
| | |
