| 08-01183 | 05/29/2009 | Claimant(s): Thomas Moran
Claimant Lawyers(s): Joshua S. Pinsky
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Kenneth Fuchs
Arbitrator(s):
Hearing Site: Tampa, FL
| | Expungement |
| 08-01002 | 05/20/2009 | Claimant(s): The Estate of Mary A. Musil
Claimant Lawyers(s): Richard A. Kutche
Respondent(s): Wachovia Securities, A.G. Edwards & Sons., Prudential Equity Group
Respondent Lawyers(s): James C. Browning, Kenneth Fuchs
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
|  | $36,717 |
| 07-00712 | 05/15/2009 | Claimant(s): C.A.S.E. Credit Union
Claimant Lawyers(s): Samuel Benton Edwards
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Brian Witus
Arbitrator(s): Jeffry M. Bauer, William C. Kubicz, Patrick R. Sughroue
Hearing Site: Detroit, MI
| | $1,028,440 |
| 08-02214 | 04/08/2009 | Claimant(s): Estate of Jack Perry
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): Denzil J. Klippel, Elizabeth Elster Granville, David A. Schwarz
Hearing Site: New York, NY
| | $137,500 |
| 08-01920 | 04/02/2009 | Claimant(s): Graham Williamson
Claimant Lawyers(s): Graham S. Williamson
Respondent(s): Monica Malhoit, Prudential Equity Group
Respondent Lawyers(s): Carole A. McDonald, William R. Ahern
Arbitrator(s): Burton L. Ansell
Hearing Site: Detroit, MI
| | $0 |
| 07-03221 | 03/18/2009 | Claimant(s): Michael Vanin
Claimant Lawyers(s): Valerie S. Carter
Respondent(s): Wachovia Securities, Prudential Equity Group
Respondent Lawyers(s): Barry J. Miller, Thomas J. Kavaler
Arbitrator(s): Gerald H. Powers, Patricia Gatto Hechavarria, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | |
| 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 |
| 07-03290 | 11/04/2008 | Claimant(s): Patricia Gorski
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Brian D. Elias
Arbitrator(s): Robert N. Duggan, Mitchel Weiss, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | $0 |
| 05-06280 | 10/08/2008 | Claimant(s): Prudential Equity Group
Claimant Lawyers(s): David W. Schmidt
Respondent(s): Stanley Szymczyk
Respondent Lawyers(s): Stephen A. Madoni
Arbitrator(s): Salvatore A. Sciortino, James M. Goldberg, Karen J. Burneff
Hearing Site: Los Angeles, CA
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