| 15-02810 | 10/09/2018 | Claimant(s): Bonnie Faleschini, David Plimpton, Randy Reinke, Richard Faleschini, Sally Redding, Susan Plimpton, Tim Redding
Claimant Lawyers(s): Steven J. Weintraut
Respondent(s): Charles Zajicek, Christopher Most, Wachovia Securities, Wells Fargo Advisors, Wells Fargo Clearing Services
Respondent Lawyers(s): Miriam G. Bahcall
Arbitrator(s): Steven R. Christensen, Michael F. Jordan, Steven M. Bialick
Hearing Site: Minneapolis, MN
|  | $430,000 |
| 14-02953 | 07/18/2016 | Claimant(s): Ann Oldfather, F/B/O Ann B. Oldfather, Oldfather & Morris Profit Sharing Plan
Claimant Lawyers(s): Robert S. Deskins
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jill Bradley, Wachovia Securities, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Allan Weiss, Robert Laurence Astorino
Hearing Site: Louisville, KY
| | $181,757 |
| 14-02522 | 05/05/2016 | Claimant(s): Donna Gall, Lillian Mae McDonald IRA, McDonald Family Trust B-UA 03/09/2000, McDonald Family Trust U/A 04/10/1984
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Judy Louie, Melissa M. Muehlfeld
Arbitrator(s): Timothy J. Kroll, Jay Lawrence Witkin, Karen D. Hanson
Hearing Site: Phoenix, AZ
| | Expungement |
| 08-00501 | 08/03/2015 | Claimant(s): John Marshall Hispanic America Fdtn., John Marshall Properties., Palm Coast Collectibles.
Claimant Lawyers(s): John D. Marshall
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian Betz
Arbitrator(s): Howard N. Kahn, Jeffrey Lawrence Sarkin, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | $0 |
| 10-01754 | 12/19/2013 | Claimant(s): Rita Cervoni, Vincent Cervoni
Claimant Lawyers(s): Howard Roitman
Respondent(s): Billy Wisdom, Wachovia Securities, Kevin Healy, William Brancato
Respondent Lawyers(s): Beth A. Black
Arbitrator(s): Laurel Littman Gothelf, George Frederick Garris, Royetta M. Jones
Hearing Site: Las Vegas, NV
| | Expungement |
| 12-02101 | 12/19/2013 | Claimant(s): Estate of Dorris Arris
Claimant Lawyers(s): Roger G. Bresnahan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Gerald Cohn, The Cohn Financial Group
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Dale A. Hearn, Charles E. Munson, Stephanie E. Simmons
Hearing Site: Houston, TX
| | Expungement |
| 12-03299 | 08/12/2013 | Claimant(s): Yvonne Kloehn
Claimant Lawyers(s): G. Martin Meyers
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Michael Levine, A.G. Edwards & Sons.
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Bernard M. Levine, Linda J. Baer, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $0 |
| 12-00462 | 04/22/2013 | Claimant(s): Mildred Wood, Mildred Wood Revocable Trust, Trust Under the Will of Robert E. Wood
Claimant Lawyers(s): Thomas P. Gressette
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Lisbeth Cherrington
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Susan J. Buckley, Alan L. Berger, Charles L.A. Terreni
Hearing Site: Columbia, SC
| | Expungement |
| 12-00996 | 02/06/2013 | Claimant(s): Gillman Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wachovia Securities, Shirley Polidori
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Steven Ira Weinberger
Hearing Site: Boca Raton, FL
| | $96,799 |
| 09-04678 | 12/31/2012 | Claimant(s): Marsha Orsatelli Smith, S3 Properties LP, SFG LLC, SSI Land Cattle Co., Katelyn Smith UTMA, Custodian Account, Ty Smith UTMA
Claimant Lawyers(s): David Gaba, John A. Bender
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Robert Bocko
Arbitrator(s): Bonny Kathleen Riggs, Laurie E. Law, Charles Scott McClellan
Hearing Site: Seattle, WA
| | $0 |
