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FINRA Awards for Wachovia Capital Markets

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0120802/23/2012Claimant(s): Stephen Hentschel
Claimant Lawyers(s): Jonathan Harris
Respondent(s): Eastdil Secured, Wachovia Capital Markets, Wells Fargo Securities
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Sandra J. Mullings, John Nino Brenkovich, Marianne C. Hussey
Hearing Site: New York, NY
09-0270306/03/2010Claimant(s): William Tolson, William E. Tolson 2006 Rev Inter-Vivos T
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Howard Pearlman, Wachovia Capital Markets
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Frank R Weaver, Robert M. Lubin, Alan Richard Carlisle
Hearing Site: San Francisco, CA
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