| 11-04681 | 09/18/2013 | Claimant(s): Roger Davidson, Redwood F Trust, Redwood II F Trust, FBO Naomi Davidson, FBO William Davidson, Redwood II Trust, Robin II Trust, Roger C. Davidson Revocable Trust
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Romaine L. Gardner, Sandra J. Mullings, Joan Marie Chiusano
Hearing Site: New York, NY
|  | Expungement |
| 12-01827 | 09/16/2013 | Claimant(s): John Lott
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Joyce F. Glucksman, Samuel C. Johnson, Laree Payne Kennedy
Hearing Site: Birmingham, AL
| | Expungement |
| 12-00680 | 08/21/2013 | Claimant(s): Patricia Santacroce
Claimant Lawyers(s): Adam Gana
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
| | Expungement |
| 12-03299 | 08/12/2013 | Claimant(s): Yvonne Kloehn
Claimant Lawyers(s): G. Martin Meyers
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Michael Levine, A.G. Edwards & Sons.
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Bernard M. Levine, Linda J. Baer, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $0 |
| 12-03264 | 08/06/2013 | Claimant(s): Evangelos Dimopoulos
Claimant Lawyers(s): Evangelos Dimopoulos
Respondent(s): Christopher Fontana, Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Daniel P. Lund
Hearing Site: Miami, FL
| | Expungement |
| 12-00793 | 07/30/2013 | Claimant(s): Philip Lovell, Philip Lovell Pension Plan, The Lovell Family Trusts
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Stephen J. Taddie, Ernest F. Modzelewski, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | $1,802,510 |
| 12-01645 | 07/29/2013 | Claimant(s): Charles Lowe
Claimant Lawyers(s): David W. Miller
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Sarah G. Anderson, Ronnie Edward Nichols, John G. Shamp
Hearing Site: Columbia, SC
| | Expungement |
| 12-00141 | 07/25/2013 | Claimant(s): Michel Rosen, Naomi Rosen
Claimant Lawyers(s): Susan R. Healy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Langfred W. White, Robert S. Anderson, Keith M. Crouse
Hearing Site: Tampa, FL
| | Expungement |
| 12-03746 | 07/23/2013 | Claimant(s): Alfonso A. Larriva
Claimant Lawyers(s): Alfonso A. Larriva
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
| | $0 |
| 11-04690 | 07/22/2013 | Claimant(s): Carol Kafka, Candice Company., Father & Sons Contractors., Father and Son's Home Improvement II,, Riverside Management., Riverside Realty.
Claimant Lawyers(s): Charles Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mark L Miller, Edward Louis Koven, Edward Johannes Hertenstein
Hearing Site: Chicago, IL
| | Expungement |
