| 15-03092 | 12/09/2016 | Claimant(s): Revocable Trust of Ralph Day
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael L. Lyons, James P. O'Grady, Charles Orlove
Hearing Site: St. Louis, MO
|  | Expungement |
| 15-02988 | 10/20/2016 | Claimant(s): Caren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
| 15-02904 | 10/18/2016 | Claimant(s): Susanne McInnis
Claimant Lawyers(s): Matthew H Bryant
Respondent(s): John Hutchinson
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Susan L. Luck
Hearing Site: Charlotte, NC
| | Expungement |
| 16-00066 | 10/11/2016 | Claimant(s): Mr. Gonzalo Fernandez, Ms. Esther Fernandez
Claimant Lawyers(s): Esther Fernandez, Steven Fernandez
Respondent(s): Alan Gross, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | $300 |
| 15-00074 | 06/16/2016 | Claimant(s): Mark Schroeder
Claimant Lawyers(s): Chad C. Beaver
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jeffrey Holloway, First Clearing, Sean Harman, Timothy Tadlock, Holloway and Harman Capital Management,
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan, Michael D. Fitzgerald, Dennis Shrewsbury
Hearing Site: Kansas City, MO
| | $423,770 |
| 15-00372 | 04/08/2016 | Claimant(s): Ileane Scopinsky, Sheldon Scopinsky
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Leah G. Rabinowitz, Rena E. Grossfield, James S. Hazard
Hearing Site: New York, NY
| | $0 |
| 15-01617 | 04/07/2016 | Claimant(s): Helen Huber
Claimant Lawyers(s): Dennis Huber
Respondent(s): Wells Fargo Advisors Financial Network, David Boliver
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $600 |
| 13-03285 | 12/22/2015 | Claimant(s): Kevon Glickman, Susan Glickman
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors, Leslie Margolies
Respondent Lawyers(s): Leslie Ann Margolies, Michael Naccarato
Arbitrator(s): John J. Jordan, L. Martin Miller, H. Gerald Nanos
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-03102 | 12/17/2015 | Claimant(s): Joan Anderson
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Karin A. Schlosser
Hearing Site: Syracuse, NY
| | Expungement |
| 13-03327 | 12/15/2015 | Claimant(s): Dana Johnson, Malvin Johnson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | $10,600 |
