| 10-03554 | 07/03/2013 | Claimant(s): College Health and Investment, Ltd.
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Paul W. Sterman, Will Murphy, Kenneth E. Merklen
Hearing Site: Boca Raton, FL
|  | $2,752,050 |
| 12-02817 | 07/02/2013 | Claimant(s): The Estate of Elvira C. Iasso
Claimant Lawyers(s): John Narccarelli
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert G. Geeseman
Hearing Site: Orlando, FL
| | $300 |
| 12-01815 | 07/01/2013 | Claimant(s): Cynthia Undesser, John Undesser, Richard Undesser
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William M. Getzoff, Rody P. Biggert, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | $0 |
| 13-00099 | 06/28/2013 | Claimant(s): Sheila Schweky
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 11-03293 | 06/27/2013 | Claimant(s): The Estate of Marie J. Sliwa, Henry J. Sliwa and Marie J. Sliwa Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Kenneth R. Starr, A.J. Seier, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | Expungement |
| 10-01194 | 06/26/2013 | Claimant(s): United Micronesia Development Assoc.
Claimant Lawyers(s): Robert J. O'Connor
Respondent(s): Wells Fargo Advisors, James Davis, Sanders Morris Harris Inc.
Respondent Lawyers(s): Ben Suter, Peter B. Wells, Will S. Montgomery
Arbitrator(s): Carol M. Egan, Elmo E. Wedderburn, Tobin B. Swanson
Hearing Site: Honolulu, HI
| | $100,000 |
| 10-03339 | 06/25/2013 | Claimant(s): Lorraine Johnson
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Clave E. Gill, Jeffrey Ackermann
Hearing Site: New Orleans, LA
| | Expungement |
| 11-04795 | 06/25/2013 | Claimant(s): Miguel Damien
Claimant Lawyers(s): Mark D. Miller
Respondent(s): Wells Fargo Advisors, Zakkour Chivi
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Abraham Harry Bunis, Robert W. Kenter, Louis P. Wagman
Hearing Site: Newark, NJ
| | $0 |
| 12-00893 | 06/13/2013 | Claimant(s): Maxine Pope, Michael Pope, The Maxine O. Pope Trust Dated 04-05-90, The Michael Pope Trust Dated 06-09-08
Claimant Lawyers(s): Michael Hume, Thomas C. Bradley
Respondent(s): Wells Fargo Advisors, John Carlsen
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Thomas D. Reese, Mary Margaret Bush, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Expungement |
| 11-00303 | 06/03/2013 | Claimant(s): John Paul Rouleau & Margaret C. Rouleau
Claimant Lawyers(s): John F. Nicholls
Respondent(s): Wells Fargo Advisors, David Johns
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Samuel H. Chorches, Frank E. Wolf, Patrick W. McKeon
Hearing Site: Montpelier, VT
| | $0 |
