| 12-02115 | 04/28/2015 | Claimant(s): CCO Investment Services Corp., RBS Citizens N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Wells Fargo Advisors Financial Network, Della Hicks, James Oliver, James Venditti, Jamie Nowakowski, Jayme Lemaire
Respondent Lawyers(s): James Frederick Venditti, Thomas B. Lewis
Arbitrator(s): Richard Slavin, Lincoln W. Craighead, Charles Franklin Willson
Hearing Site: Hartford, CT
| | |
| 14-00882 | 11/06/2014 | Claimant(s): Robert Friedman
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | |
| 13-01221 | 06/13/2014 | Claimant(s): Alexander Simanovsky
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | |
| 13-00839 | 03/13/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): John Mikhael
Respondent Lawyers(s): John Mikhael
Arbitrator(s): Neal D. Baker, Leslie Ruth Nydick, Jeffrey H. Rosenthal
Hearing Site: Newark, NJ
| | |
| 13-02678 | 03/05/2014 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Edward Murphy
Respondent Lawyers(s): Edward Thomas Murphy
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
| 11-02404 | 11/22/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Benjamin Alexander, Wells Fargo Advisors Financial Network, Erica Fendlay
Respondent Lawyers(s): Christopher A. Pickett, Meredith Cavallaro, Thomas B. Lewis
Arbitrator(s): N. John Marinack, James J. Puhala, Peter Vincent Marcoline
Hearing Site: Pittsburgh, PA
| | |
| 11-02495 | 11/18/2013 | Claimant(s): Alexander Simanovsky
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Diane Ciccone, Sheldon Seligsohn, Jonathan A. Siegel
Hearing Site: Philadelphia, PA
| | |
| 11-04739 | 11/01/2013 | Claimant(s): J.J.B. Hilliard, W.L. Lyons
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Steve Mahler
Respondent Lawyers(s): Frank "Kim" Breese
Arbitrator(s): R. Phillip Reed, Gary P. Price, Matthew P. McCauley
Hearing Site: St. Louis, MO
| | |
| 12-01576 | 10/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Steven Perillo
Respondent Lawyers(s): Steven Perillo
Arbitrator(s): Bernard M. Levine
Hearing Site: Newark, NJ
| | |
| 12-01577 | 08/06/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Darwin Campoverde
Respondent Lawyers(s): Darwin Douglas Campoverde
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | |
