| 10-03013 | 12/22/2010 | Claimant(s): Judith B. Rothenberg IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Richard J. Kaplan
Hearing Site: Ft. Lauderdale, FL
|  | $31,673 |
| 09-04471 | 12/20/2010 | Claimant(s): The Vallone Family 1985 Trust
Claimant Lawyers(s): Richard J. Annen,
Respondent(s): Wachovia Securities, Victor Koby
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kelly A. Barker, Mandel E. Himelstein, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | $210,891 |
| 09-00249 | 12/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Telum Winters
Respondent Lawyers(s): Telum Jackey Winters
Arbitrator(s): Harris E. Bunkin, Irwin Glazer, Marcy R. Greer
Hearing Site: Tampa, FL
| | |
| 09-02586 | 12/02/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Nils Barrett
Respondent Lawyers(s): Steven M. Harris
Arbitrator(s): Blaine Smith, Linda L. Drummond, Robert Elman
Hearing Site: Los Angeles, CA
| | |
| 09-04824 | 12/02/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan Levine
Respondent(s): Shawn Newman
Respondent Lawyers(s): Shawn C. Newman
Arbitrator(s): Susan J. Buckley, Denise L. Presley, Jerry L. Hooper
Hearing Site: Charlotte, NC
| | |
| 09-02974 | 11/17/2010 | Claimant(s): Edward Heet and Barbara Heet
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Mark R. Lee, Joseph P. Keaveny, James M. Stern
Hearing Site: St. Louis, MO
| | Stipulated Award and Expungement |
| 09-05435 | 11/16/2010 | Claimant(s): Arlene McAdam, Charles McAdam
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Wachovia Securities, John Waite
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): William F. Skewes, Marilyn R. Lewis, Edward Allan Hindman
Hearing Site: Denver, CO
| | $100,300 |
| 09-02239 | 11/16/2010 | Claimant(s): Aldrich Fernandez
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Judith A. Gust, Robert John Wagener, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 09-04204 | 11/16/2010 | Claimant(s): George Allibone, June Allibone, Allibone Family Ltd. Partnership
Claimant Lawyers(s): Ernest W. Boyd
Respondent(s): Wachovia Securities, Joseph Klages, Nolan Caldwell, A.G. Edwards & Sons., Wells Fargo Advisors
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Philip I. McConnell, Howard J. Siegel, Ross D. Friend
Hearing Site: Houston, TX
| | $0 |
| 07-01716 | 11/12/2010 | Claimant(s): Bill Allen, Chester Goff, Clyde Moseley, James Franovich, James Gully, Jimmie Gammage, Jimmy Schafer, John Rogers, Larry Hammonds, Raymon Beckham, Reed Bond, Richard Bosarge, Wilson Miller
Claimant Lawyers(s): Mack A. Bethea
Respondent(s): Wachovia Securities, Prudential Equity Group
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): George A. Sawyer, Mark A. Myers, Cynthia Lee Traina
Hearing Site: Jackson, MS
| | $2,079,300 |
