09-03912 | 04/19/2011 | Claimant(s): John Hogge Claimant Lawyers(s): Mark Cohen Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): Will S. Montgomery Arbitrator(s): James G. Cooper, George A. Sellnau, Philip I. McConnell Hearing Site: Houston, TX
| | $0 |
09-07137 | 03/24/2011 | Claimant(s): Estate of Elsie Caldonia Flowers Claimant Lawyers(s): J. Don Gordon Respondent(s): Wachovia Securities, Johnnie Cadenhead, A.G. Edwards & Sons. Respondent Lawyers(s): Johnnie Cadenhead, Will S. Montgomery Arbitrator(s): Bill H. Brister, Andrea U. Calve, Margaret Louise Ruckriegel Hearing Site: Dallas, TX
| | $292,953 |
09-03803 | 02/22/2011 | Claimant(s): Gilbert Lee, Lee Family Trust Claimant Lawyers(s): Marc D. Mabile Respondent(s): Bart Martinez, Wachovia Securities, A.G. Edwards & Sons. Respondent Lawyers(s): Judy Louie Arbitrator(s): Guenter S. Cohn Hearing Site: San Diego, CA
| | $34,305 |
08-01654 | 12/06/2010 | Claimant(s): Walter Roth Claimant Lawyers(s): Walter W. Roth Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): David E. Strand Arbitrator(s): David N. Brainin, Marilyn Chin, Angela M. Morisco Hearing Site: Newark, NJ
| | |
07-02357 | 11/24/2010 | Claimant(s): Brian McCafferty Claimant Lawyers(s): Kevin E. Barber Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): David E. Strand Arbitrator(s): Cynthia H. Plishtin, Edward L. Levine, Stephanie M. Miller Hearing Site: Newark, NJ
| | |
07-01147 | 11/18/2010 | Claimant(s): The Estate of Lessie M. Delk Claimant Lawyers(s): John J. Allan Respondent(s): Kelly Waller, A.G. Edwards & Sons. Respondent Lawyers(s): Richard H. Kuhlman Arbitrator(s): Robert J. Gryzmala, John R. Loss, Heath O. Lauseng Hearing Site: St. Louis, MO
| | $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 |
09-07045 | 06/24/2010 | Claimant(s): A.G. Edwards & Sons. Claimant Lawyers(s): Renan I. Sugarman Respondent(s): David Stern Respondent Lawyers(s): David C. Stern Arbitrator(s): William I. Carmen Hearing Site: Providence, RI
| | |
07-02954 | 05/07/2010 | Claimant(s): A.G. Edwards & Sons. Claimant Lawyers(s): Jack Ballard Respondent(s): Wachovia Securities, Stifel, Nicolaus & Co.., Gene Diedrich, Michael Nielsen Respondent Lawyers(s): Andrew J. Shapren, Jack Ballard, Kenneth C. Mennemeier, Kristina L. Cashion Arbitrator(s): Helen Marinak Blohm, Mark R. Palmer, M. Scott Donahey Hearing Site: San Francisco, CA
| | |
09-00360 | 04/28/2010 | Claimant(s): Harold Johnson and Mary Johnson, JTW ROS Claimant Lawyers(s): Terry D. Kordeliski Respondent(s): A.G. Edwards & Sons., Thomas Avant Respondent Lawyers(s): Timothy J. Bomhoff Arbitrator(s): Robert D. Garrett, Rowland Denman, John Burke Garrett Hearing Site: Oklahoma City, OK
| | Improvement on Annuity Benefit was granted |