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 |
07-01931 | 05/30/2008 | Claimant(s): Lynn O. Hilliard Claimant Lawyers(s): Ryan Shaw Respondent(s): Wachovia Securities, Stuart May Respondent Lawyers(s): Ryan P. Smith Arbitrator(s): Carol M. Stoner Hearing Site: Charleston, WV
| | $0 |
07-01618 | 05/02/2008 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Ryan P. Smith Respondent(s): Roderick Brown Respondent Lawyers(s): Roderick L. Brown Arbitrator(s): Daniel W. Desmond, Linda A. Allen, David P. McDuffee Hearing Site: Raleigh, NC
| | |
07-01244 | 12/11/2007 | Claimant(s): Ashley Champlin, Ashley Brooke Champlin Treasury Strips Claimant Lawyers(s): Greg P. Regier Respondent(s): Wachovia Securities Respondent Lawyers(s): Ryan P. Smith Arbitrator(s): David J. Anderson Hearing Site: Los Angeles, CA
| | $0 |
07-00417 | 11/12/2007 | Claimant(s): Elizabeth Bondoc Claimant Lawyers(s): Neda Ataie Respondent(s): Wachovia Securities, Stephen Wilson Respondent Lawyers(s): Peter Brown Dolan, Ryan P. Smith Arbitrator(s): William E. Winfield, Troy C. Sumrall, Anita Rae Shapiro Hearing Site: Los Angeles, CA
| | $13,713 |
06-02660 | 08/01/2007 | Claimant(s): Steven Schwartz Claimant Lawyers(s): Steven P. Schwartz Respondent(s): Wachovia Securities, Delores Vance Respondent Lawyers(s): Ryan P. Smith Arbitrator(s): Samuel J. Henderson, Sandra J. Bakalus, Marilyn K. Dirks Hearing Site: Tampa, FL
| | $10,513 |