| 21-00961 | 04/04/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michelle M. Wezner
Respondent(s): Craig Lewis
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Lucy J. Karl, Gene M. Bauer, Paula M. Bagger
Hearing Site: Boston, MA
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| 17-00299 | 01/30/2023 | Claimant(s): Wells Fargo Advisors, Wells Fargo Clearing Services, Kyle Herrman, Renee Crittenden
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Commerce Brokerage Services.
Respondent Lawyers(s): Corey Franklin
Arbitrator(s): Leah Murray Albert, Barry Goldman, Jane Cohen
Hearing Site: St. Louis, MO
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| 20-02051 | 04/12/2022 | Claimant(s): Robert Haas
Claimant Lawyers(s): Michael A. Nagy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Judith P. Meyer, Laura A. Kaster, George Swindasz
Hearing Site: Philadelphia, PA
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| 18-03637 | 03/30/2021 | Claimant(s): Gregory Macko
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Linda J. Baer, William T. Brice
Hearing Site: Hartford, CT
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| 19-01411 | 03/01/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Vince Glenn
Respondent Lawyers(s): Kevin T. Duffy
Arbitrator(s): John Carl Cirincion, Mary Julia O'Connell, Albert Rizzo
Hearing Site: New York, NY
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| 20-00667 | 06/18/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Scott Whittemore
Respondent Lawyers(s): Scott Robert Whittemore
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
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| 19-01407 | 11/25/2019 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Paul Liebman
Respondent Lawyers(s): Paul Gary Liebman
Arbitrator(s): Arthur M. Handler
Hearing Site: New York, NY
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| 18-02164 | 11/01/2019 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Jamie Nowakowski
Respondent Lawyers(s): Dennis C. Carter
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Hartford, CT
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| 18-00162 | 09/17/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Joseph Shimko
Respondent Lawyers(s): Christopher Kammerer
Arbitrator(s): Ellen J. Abrams, Thomas W. Allen, William Dennis Ferguson
Hearing Site: Boca Raton, FL
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| 15-02044 | 07/26/2019 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Christopher Caputo
Respondent Lawyers(s): Timothy W. Bergin
Arbitrator(s): Paul Allan Massaro, Ronald J. Colombo, Jay Alan Kranis
Hearing Site: Newark, NJ
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