| 14-00467 | 07/20/2016 | Claimant(s): Bruce Botts, Lynne Botts
Claimant Lawyers(s): Bruce Botts, Lynne Botts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Bill Swinford, Jeffrey M. Bain, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
|  | Expungement |
| 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 |
| 15-01757 | 07/18/2016 | Claimant(s): John Long
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Keith Roberts
Hearing Site: New York, NY
| | $0 |
| 15-01936 | 06/30/2016 | Claimant(s): Joseph Pica
Claimant Lawyers(s): Richard De Vita
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert R. Salman, Richard C. Antonelli, Brian J. Strum
Hearing Site: Newark, NJ
| | Expungement |
| 14-01580 | 06/29/2016 | Claimant(s): Noor Barsar
Claimant Lawyers(s): Jared Levy
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Marc T. Danon, Carl Shechter, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 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 |
| 14-03446 | 06/03/2016 | Claimant(s): Marie Cabral
Claimant Lawyers(s): Marie Cabral
Respondent(s): Wells Fargo Advisors, James Connors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Robert Titus, Stephen Z. Frank, Jeffrey S. Troderman
Hearing Site: Montpelier, VT
| | Expungement |
| 14-03379 | 06/01/2016 | Claimant(s): Larry Kattman
Claimant Lawyers(s): Louise J. Kattman
Respondent(s): Wells Fargo Advisors, Michael Lundin
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Mark L Miller, Sherrill Wm Colvin, Todd Machowiak
Hearing Site: Indianapolis, IN
| | Expungement |
| 14-02849 | 05/31/2016 | Claimant(s): The John A. Caw Estate
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $66,225 |
| 14-02356 | 05/31/2016 | Claimant(s): Janice Levy
Claimant Lawyers(s): Deborah R. Gross
Respondent(s): Wells Fargo Advisors, Kevin Larkin
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Catherine Stewart
Hearing Site: Philadelphia, PA
| | $0 |
