| 23-03384 | 09/03/2024 | Claimant(s): Kenneth Grover
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Wells Fargo Securities
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Paul E. Dahlman, Eric Gad Forster, Richard Mathew Greenspan
Hearing Site: Salt Lake City, UT
|  | $0 |
| 23-01628 | 06/07/2024 | Claimant(s): George Koutsos, Alma Industries Inc., GJK Group
Claimant Lawyers(s): Richard Diorio
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Lawrence Burke
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Michael Jaffe, Ronald Harris Kisner, Gregg Lance Zeoli
Hearing Site: New York, NY
| | $0 |
| 23-00211 | 05/01/2024 | Claimant(s): Christina Ludvigsen, Christina Ludvigsen IRA (1107), Christina Ludvigsen IRA (3283)
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Frank Wu, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Allan N. Taffet, Edmund Siejka, John Franklin Udochi
Hearing Site: New York, NY
| | $7,440 |
| 23-00249 | 06/27/2023 | Claimant(s): Brian Demere
Claimant Lawyers(s): Brian Bennett Demere
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Edwin J. Buckley
Hearing Site: Atlanta, GA
| | $2,102 |
| 21-01837 | 12/14/2022 | Claimant(s): Mark Wagner
Claimant Lawyers(s): Mark Wagner
Respondent(s): Jack Hsia, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Robert E. Jenks, Marc David Wilde, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-01392 | 12/12/2022 | Claimant(s): Jeffrey Cohen
Claimant Lawyers(s): David A. Schrader
Respondent(s): Wells Fargo Advisors Financial Network, Philip Pappas, Steven Dichter
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Annamaria Boccia Smith, John Herbert Grefe, John Warner Lowe
Hearing Site: New York, NY
| | $0 |
| 22-00146 | 05/24/2022 | Claimant(s): Robert Rockefeller
Claimant Lawyers(s): Robert Rockefeller
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $125 |
| 21-01955 | 03/01/2022 | Claimant(s): Patricia Gremore
Claimant Lawyers(s): Patricia A. Gremore
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., A. G. Edwards & Sons., Wells Fargo Advisors Financial Network, Invesco Distributors.
Respondent Lawyers(s): Amanda Parisi, Anne Gerry, Jeffrey D. Rodgers
Arbitrator(s): Kevin J. Demet
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 20-01900 | 11/04/2021 | Claimant(s): Joseph Serensits
Claimant Lawyers(s): Eric D. Edwards
Respondent(s): Firhan Choudhary, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Barbara Black, Michael E. Weddington, John Russell Barlow
Hearing Site: Raleigh, NC
| | Expungement |
| 19-00994 | 10/27/2021 | Claimant(s): Francesco Umbriaco
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Allen Wagner, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jim Geiger, Thomas R Nathan, Jason L Pearlman
Hearing Site: Philadelphia, PA
| | Expungement |
