18-03024 | 05/08/2019 | Claimant(s): Donna M. Lavery 1993 Trust, James W. Lavery 1993 Trust Claimant Lawyers(s): James W. Lavery Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Jeffery D. Rodgers Arbitrator(s): James W. Kerr Hearing Site: Oklahoma City, OK
| | $0 |
17-02915 | 05/03/2019 | Claimant(s): Christopher Hubbard, Julia Hubbard Claimant Lawyers(s): Jonathan Palmer Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Keith Barnett Arbitrator(s): Harry G. Mason, Marcia A. Ogilvie, George Pinckney Shingler Hearing Site: Atlanta, GA
| | Expungement |
17-02604 | 03/25/2019 | Claimant(s): Kathy Engberg Claimant Lawyers(s): Kathy Engberg Respondent(s): Wells Fargo Advisors, Richard Dunagan Respondent Lawyers(s): T.R. Bynum Arbitrator(s): Frank M. Romano, Thomas A. Martin, Eric R. Benton Hearing Site: Houston, TX
| | $0 |
17-00246 | 02/14/2019 | Claimant(s): Walter Ryan Claimant Lawyers(s): Mark A. Tepper Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Todd Ratner Arbitrator(s): William M. Howard, Sheila Grinell, Kenneth L. Mann Hearing Site: Phoenix, AZ
| | Expungement |
18-02123 | 01/14/2019 | Claimant(s): Thomas W. Riordan WFCS Cust. Trad IRA, Thomas Riordan & Barbara Riordan JTWROS Claimant Lawyers(s): Thomas Riordan Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Thomas Joseph Atkinson Hearing Site: Orlando, FL
| | $4,600 |
17-00487 | 11/29/2018 | Claimant(s): Joyce Livengood, Norman Livengood IRA Claimant Lawyers(s): Mark A. Tepper Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Harry G. Mason Hearing Site: Raleigh, NC
| | $0 |
16-02302 | 11/23/2018 | Claimant(s): Brandon Gold, Brittany Gold, Nicole Gold, Sandra Gold Claimant Lawyers(s): Ari Feldman Respondent(s): Wells Fargo Advisors, Jeffrey Doud, Jeffrey Forche, John Conlisk Respondent Lawyers(s): John Steven Conlisk, Nuviah Shirazi Arbitrator(s): James A. Blalock, Peter A. Goldman, Bernard Lieberman Hearing Site: New York, NY
| | Expungement |
16-02832 | 10/30/2018 | Claimant(s): Kathryn Schmierer Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Russell W. Merriman, Frank Brenner, Anne Marie Martin Hearing Site: Tampa, FL
| | $360,800 |
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 |
16-03388 | 09/25/2018 | Claimant(s): Robert Anderson Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Wells Fargo Advisors, Raymond Kvalvog Respondent Lawyers(s): Demian John Betz, Michael E.. Rowe Arbitrator(s): Daniel M. Yamshon, William Michael Samsel, Steven M. Bialick Hearing Site: Minneapolis, MN
| | $75,384 |