| 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 |
| 16-00720 | 01/31/2018 | Claimant(s): Jerry McMillon, Jerry A. McMillon Living Trust Under Agr
Claimant Lawyers(s): Mark A. Pruner
Respondent(s): Jason Jaffee, Wells Fargo Advisors, Wells Fargo Securities, John Lee, Wells Fargo Company
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Carlos Richard Mangum, Dean J. Dietrich, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 13-02741 | 09/26/2014 | Claimant(s): Nestor Fernandez
Claimant Lawyers(s): Michael M. Mincieli
Respondent(s): Deutsche Bank Securities., Wells Fargo Securities
Respondent Lawyers(s): David Guidry, Matthew Kalinowski
Arbitrator(s): Peter A. Cartwright, Barry David Thorpe, Robert G. Geeseman
Hearing Site: Miami, FL
| | $0 |
| 12-02667 | 04/03/2014 | Claimant(s): Joseph Mysliwiec, Mary Mysliwiec, Ronald T. Mysliwiec (decd) IRA
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Wells Fargo Securities
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Timothy J. Currier, Mark Scarr, John P. Gouttiere
Hearing Site: Detroit, MI
| | Expungement |
| 13-01254 | 12/06/2013 | Claimant(s): Benjamin C. Ritter Jr and Nina Ritter JT
Claimant Lawyers(s): John L. Allen
Respondent(s): Anne Gagnon, Wells Fargo Securities Inc., Wells Fargo Advisors Financial Network, Wells Fargo Advisors, David Rosenberg, Wells Fargo Securities
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert E. Anderson, Joseph I. Liebman, Ronald J. Colombo
Hearing Site: New York, NY
| | Expungement |
| 05-02132 | 11/14/2007 | Claimant(s): Harvey R. (Dick) & Kazuko Kagosoff, JT
Claimant Lawyers(s): Patrick L. Lund
Respondent(s): Wells Fargo Investments, Douglas Ivan, Wells Fargo Securities
Respondent Lawyers(s): Andrea H. Henningsen
Arbitrator(s): Philip W. Burge, Edward A. Trabin, Thomas A. Culbertson
Hearing Site: Los Angeles, CA
| | $0 |
