| 13-02081 | 08/13/2014 | Claimant(s): Thomas Berry
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Irwin Kahn, Gayle S. Sanders, Jeanne M. Keefe
Hearing Site: New York, NY
|  | Expungement |
| 12-03753 | 08/07/2014 | Claimant(s): Celia Shecter
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael P. Marryshow, Patrick R. Westerkamp, Esq., Harold Yaskin
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-01413 | 08/07/2014 | Claimant(s): Stephen Vaughn
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Deborah A. Jackson, Carol Denise Phelps, Samuel Appel
Hearing Site: Atlanta, GA
| | Expungement |
| 13-00779 | 07/30/2014 | Claimant(s): Spencer Sheard
Claimant Lawyers(s): John F. Hill
Respondent(s): Wells Fargo Advisors, The Estate of Karl Baumholtz, Deceased
Respondent Lawyers(s): Deirdre C. Wolff, Karlene Clark
Arbitrator(s): Benjamin B. Segel, Jeffrey M. Bain, Cynthia Diane Rudick
Hearing Site: Cleveland, OH
| | $144,125 |
| 13-01793 | 07/25/2014 | Claimant(s): Daniel Bosch, Margaret Bosch
Claimant Lawyers(s): Richard D. De Vita
Respondent(s): Wells Fargo Advisors, Banc of America Investment Services Inc.
Respondent Lawyers(s): Dominck F. Evangelista, Susan E. Mulholland
Arbitrator(s): Jon Martino, Louis P. Wagman, Jacob Scherer
Hearing Site: Newark, NJ
| | Expungement |
| 13-00194 | 07/11/2014 | Claimant(s): Jennifer Figge
Claimant Lawyers(s): Rand S. Wonio
Respondent(s): Wells Fargo Advisors, Wells Fargo Wealth Brokerage Insurance A
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Charles G. Michaels, Bruce Brown, Ronald L. Lantz
Hearing Site: Denver, CO
| | $0 |
| 13-03356 | 06/16/2014 | Claimant(s): Beverly Gimpelson, Stanley Gimpelson
Claimant Lawyers(s): Carol Morse
Respondent(s): Brian Leeton, Wells Fargo Advisors, Matt Paul
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 13-01707 | 05/30/2014 | Claimant(s): Susan Frankel
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00718 | 05/16/2014 | Claimant(s): Sud Family Limited Partnership
Claimant Lawyers(s): Mark Sanders
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Jerry D. Mc Cormack, Gerald J. Thain, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | Expungement |
| 13-02477 | 05/14/2014 | Claimant(s): Gregory Niemann Living Trust, Leila Niemann Living Trust, The Niemann Family Revocable Trust
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Salvatore A. Sciortino, Judith Porter, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Expungement |
