| 11-02713 | 09/28/2012 | Claimant(s): Helen Puskadi, Helen Puskadi Living Trust UAD 8/14/03
Claimant Lawyers(s): William S. Isenberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Ft. Lauderdale, FL
|  | Expungement |
| 11-01784 | 09/11/2012 | Claimant(s): Rollin Park
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Wells Fargo Advisors, Harry Oldham, Robert Haggard
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mollie Wagner Neal, David E. Morris, William Clay Gilbert
Hearing Site: Atlanta, GA
| | $0 |
| 11-02073 | 08/10/2012 | Claimant(s): Patricia V. Stein IRA, Tracy M. Stein IRA, Tracy Mitchell Stein Trst, P. Stein Ttee, T. Stein Ttee
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Robert L. Hudson, David P. Slater, Edmund Herbert Hecht
Hearing Site: Orlando, FL
| | Expungement |
| 10-05040 | 11/17/2011 | Claimant(s): Florian Wisniewski, Marilyn Wisniewski
Claimant Lawyers(s): Banjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stephen C. Esposito
Hearing Site: Chicago, IL
| | Expungement |
| 11-00216 | 08/05/2011 | Claimant(s): Doris Dawson
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Jordan Roy Nelson
Hearing Site: Philadelphia, PA
| | $425 |
| 10-03357 | 03/07/2011 | Claimant(s): Saul Witenoff, The Saul Witenoff Revocable Trust
Claimant Lawyers(s): Stephen L Witenoff
Respondent(s): Wells Fargo Advisors, Sherwyn Labovitz
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | $23,893 |
| 08-04144 | 10/06/2010 | Claimant(s): Ann Myers
Claimant Lawyers(s): Wayne E. Batcheler
Respondent(s): Alan Knisley, Wachovia Securities, Edward Mercier
Respondent Lawyers(s): Alan S. Rafterman, Angela A. Turiano
Arbitrator(s): Annette B. Meyers, Michelle Jacobowitz Gallagher, Judith C. Greene
Hearing Site: New York, NY
| | $0 |
| 08-04451 | 10/14/2009 | Claimant(s): Phyllis Andriani, PhylissAndriani TTEE Non-Marital Trusts, TTEE of the Martial Tr
Claimant Lawyers(s): Jacob Zamansky
Respondent(s): Wachovia Securities, Morgan Stanley & Co.
Respondent Lawyers(s): Alan S. Rafterman, Susan Poder MacFarlane
Arbitrator(s): James M. Baumann, Keely D. Parr, George E. Berkeley
Hearing Site: New York, NY
| | $0 |
| 08-03057 | 05/06/2009 | Claimant(s): Ralph Plechner
Claimant Lawyers(s): Ralph E. Plechner
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
| | $0 |
| 04-01862 | 08/27/2007 | Claimant(s): Virginia Kent, Louis and Virginia Kent
Claimant Lawyers(s): Martyn B. Hill
Respondent(s): Louis Kent, M. Bowles, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan S. Rafterman, Martyn B. Hill
Arbitrator(s): Raymond E. Jennison, Carol A. Freeland, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | $0 |
