| 10-01775 | 07/20/2012 | Claimant(s): Mary Larson Weber, Rhonda Larson, Scott Larson, Sue Kerans, Taylor Lord, Thomas Larson, Howard H. Larson Revocable Living Trust
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Wells Fargo Advisors, Jay Weiland, Fiduciary Partners.
Respondent Lawyers(s): Miriam G. Bahcall, Sean M. Sweeney
Arbitrator(s): Terry F. Peppard, Jeffrey S. Fannon, David E. Jarvis
Hearing Site: Milwaukee, WI
|  | $227,750 |
| 10-05647 | 07/19/2012 | Claimant(s): Mark Bockenstette, Mary Kay Bockenstette
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): Andrew Moro, Wells Fargo Advisors, Michael Curley, Steven Frank
Respondent Lawyers(s): Richard S. Wayne
Arbitrator(s): Arthur L. Sirkin, Robert L. Hudson, William H. McCullough
Hearing Site: Jacksonville, FL
| | Stipulated Award and Expungement |
| 11-00605 | 07/03/2012 | Claimant(s): Alexander Schernecke
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Wells Fargo Advisors, Jamie Baraldi, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano, Brian A. Carlis, Edward W. Larkin
Arbitrator(s): Sheldon Seligsohn, Jerry Schuchman, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-02854 | 06/28/2012 | Claimant(s): Barry Irwin
Claimant Lawyers(s): Wayne S. Koppel
Respondent(s): Wells Fargo Advisors, Richard Fulton
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
| | $0 |
| 11-03046 | 06/14/2012 | Claimant(s): Claude Berwick, Sheila Berwick, Claude R. Berwick IRA, Sheila C. Berwick IRA
Claimant Lawyers(s): William S. Shepherd
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): William Edward Buck, Stephen James Cavanaugh, Montie G. Grimes
Hearing Site: Houston, TX
| | $70,000 |
| 11-04268 | 06/11/2012 | Claimant(s): Andrew Fogler
Claimant Lawyers(s): Edward W. Gasser
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $325 |
| 11-00670 | 06/07/2012 | Claimant(s): Francis Bolduc
Claimant Lawyers(s): Eric M. Rolinson
Respondent(s): Wells Fargo Advisors, Susan Baiocco
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Stuart K. Furman, Greg Knight, Jack A. Helms
Hearing Site: Orlando, FL
| | Expungement |
| 10-05780 | 06/06/2012 | Claimant(s): The Heater Family Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): William M. Turner
Arbitrator(s): William E. Schneider, Ronald F. Rybandt, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00486 | 06/06/2012 | Claimant(s): Steven Smith as Personal Representative
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Helen E. Huyler, Walter J. Wylie, Dana R. Krajack
Hearing Site: Columbia, SC
| | Expungement |
| 10-02590 | 05/24/2012 | Claimant(s): Helen Wald, Laureen Arena
Claimant Lawyers(s): Armand Salese
Respondent(s): Wells Fargo Advisors, Stephen Schneider
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): Joe S. Tarrer, Brian L Evans, Rickey Ray Pate
Hearing Site: Phoenix, AZ
| | Expungement |
