| 08-00956 | 04/13/2009 | Claimant(s): Elyse Masterson, Robert Masterson, Masterson Family, Blake Dillion Masterson, CUS, James Brody Masterson
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): Azmi "Andy" Fakhoury, Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Donald M. Lehman, Preston A. Trimble, Jan Preece Gaddis
Hearing Site: Oklahoma City, OK
|  | $89,338 |
| 08-00236 | 03/10/2009 | Claimant(s): Bruce Graves
Claimant Lawyers(s): Steele T. Williams
Respondent(s): A.G. Edwards & Sons., Robert Kahne
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael A. Lynch, William F. Glaser, Kenneth R. Starr
Hearing Site: Tampa, FL
| | $0 |
| 08-00117 | 01/21/2009 | Claimant(s): Daniel J. Day Living Trust, Diane D. Arnold Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert J. Walter, Benjamin L. Abramowitz, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | $0 |
| 07-01870 | 10/09/2008 | Claimant(s): Joan Skrzycki, Robert Skrzycki
Claimant Lawyers(s): Daniel R. Flebotte
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert T. Allen, David P. McDuffee, George W. McKellar
Hearing Site: Raleigh, NC
| | $0 |
| 07-02485 | 09/24/2008 | Claimant(s): Raymond Curtin
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Ned B. Young, Kimberly A. Gilmour, Charles W. Lavender
Hearing Site: Ft. Lauderdale, FL
| | |
| 06-02098 | 08/14/2008 | Claimant(s): John McQueen
Claimant Lawyers(s): John McQueen
Respondent(s): Jason Parlato, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Patricia N. Cirillo, Richard W. Cutler, Charles Ajamian
Hearing Site: New York, NY
| | |
| 06-05187 | 05/16/2008 | Claimant(s): Michael Cain
Claimant Lawyers(s): Raymond L. Moss
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Richard V. McGalliard, Marian Cover Dockery, Alfred Lee Dingler
Hearing Site: Atlanta, GA
| | |
| 07-01100 | 03/28/2008 | Claimant(s): The Shorr Family Trust
Claimant Lawyers(s): Ronald W. Karolyi
Respondent(s): A.G. Edwards & Sons., Terry Dean
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert S. Zuckerman, Michael E. Pearson, Richard E. Miley
Hearing Site: Charlotte, NC
| | $0 |
| 07-02329 | 03/25/2008 | Claimant(s): Dave Schutz
Claimant Lawyers(s): Steven M. Green
Respondent(s): Mark Gundy, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
| | $425 |
| 05-05902 | 02/08/2008 | Claimant(s): Larry Parker
Claimant Lawyers(s): Thomas M. Haskins
Respondent(s): Citigroup Global Markets., A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning, William A. Hohauser
Arbitrator(s): Dennis Dowd, Gerhard L. Schopen, Suanne M. Parro
Hearing Site: Denver, CO
| | $0 |
