| 11-01511 | 06/25/2012 | Claimant(s): John Kennedy
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Robert J. Kheel
Hearing Site: New York, NY
|  | $0 |
| 10-03151 | 06/07/2011 | Claimant(s): Hugh Gershon
Claimant Lawyers(s): Craig W. Horn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Stephen D Kursman, Lee Hornberger, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | $250,000 |
| 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 |
| 08-04373 | 06/04/2010 | Claimant(s): Marina Braun
Claimant Lawyers(s): Justine Fischer
Respondent(s): Wachovia Securities, Julian Albert
Respondent Lawyers(s): Demian J. Betz, Michael J. Abbott
Arbitrator(s): Clyde Fahlman, William J. Chambers, G. E. Craig Doupe
Hearing Site: Portland, OR
| | $0 |
| 08-03219 | 05/27/2010 | Claimant(s): Anne K. and William L. Porter Foundation, Arlington Properties., Kinport Corporation, WRK, Mary S. Kinder Trust
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Larry R. Trussell, James C. Morrow, Christopher Daniel Gryzen
Hearing Site: Omaha, NE
| | $391,375 |
| 09-04871 | 04/14/2010 | Claimant(s): Deming Fu, Rongli Gui
Claimant Lawyers(s): Rongli Gui
Respondent(s): Wells Fargo Advisors, James Hietpas
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Sheldon I. Saitlin
Hearing Site: Milwaukee, WI
| | $0 |
| 08-05005 | 03/17/2010 | Claimant(s): Fagan Miller
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jan Preece Gaddis, Robert Steven Haught, David A. Laughlin
Hearing Site: Oklahoma City, OK
| | $14,377 |
| 08-03406 | 07/30/2009 | Claimant(s): Larry Overbay
Claimant Lawyers(s): Larry W. Overbay
Respondent(s): Danielle Newman, Robert Carpenter
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
| | $15,031 |
| 05-06113 | 02/11/2009 | Claimant(s): Ruth Slechta, Libor Slechta Trust UA DTD 3/25/96
Claimant Lawyers(s): Sandra J. Budnick
Respondent(s): Wachovia Securities, Dennis Yetter, Prudential Equity Group, Yetter & Yetter Investment Group
Respondent Lawyers(s): Brian Witus, Demian J. Betz
Arbitrator(s): Nancy R. Papo, John P. Gouttiere, Paul Sislin
Hearing Site: Detroit, MI
| | $375 |
| 08-00408 | 11/06/2008 | Claimant(s): Ruth Farr
Claimant Lawyers(s): William L. White
Respondent(s): Wachovia Securities, Prudential Equity Group, UBS Services USA LLC
Respondent Lawyers(s): Dan A. Rosenbaum, Demian J. Betz, Kenneth Fuchs
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | $213 |
