| 11-02505 | 05/24/2012 | Claimant(s): Barbara Roberts, Joe Roberts, Joe D. Roberts IRA
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins, Judy Louie
Arbitrator(s): Joseph C. Watson, Robert Allan Klein, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-01454 | 05/22/2012 | Claimant(s): Sharon Palas
Claimant Lawyers(s): Chad A. Snyder
Respondent(s): Bruce Lick, Wells Fargo Advisors, David Cooper
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Kathryn J. Hoy, Kathy A. Tatone, Frank Abramson
Hearing Site: Minneapolis, MN
| | $0 |
| 11-00723 | 05/21/2012 | Claimant(s): Dianna Crossman
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wells Fargo Advisors, Cynthia Kines
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Cheryl E. Winton, Richard F. Lang, David Rich
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-05616 | 05/15/2012 | Claimant(s): Susan Blickman
Claimant Lawyers(s): John Daniels
Respondent(s): Wells Fargo Advisors, John Compton
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Linda T. Pellegrino, Alan Shaw, Sandralin J. Kiss
Hearing Site: Newark, NJ
| | Expungement |
| 10-02055 | 04/27/2012 | Claimant(s): Ronald Phillips
Claimant Lawyers(s): Richard B Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Ralph S. Paden, John D. Mattingly, John G. Shamp
Hearing Site: Columbia, SC
| | Expungement |
| 11-04015 | 04/27/2012 | Claimant(s): Thomas Buoneto, IRA
Claimant Lawyers(s): Thomas Buoneto
Respondent(s): Wells Fargo Advisors, Peter Smith
Respondent Lawyers(s): William S. Port
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 11-01945 | 04/25/2012 | Claimant(s): Thurman Ross
Claimant Lawyers(s): Jeffrey B Kaplan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Simone Sicola, Kenneth J. Bennett, Susan Jefferbaum Beck
Hearing Site: Jacksonville, FL
| | Stipulated Award and Expungement |
| 11-00185 | 04/17/2012 | Claimant(s): Rosetta Salzman Revocable Living Trust
Claimant Lawyers(s): Kurt J. Schafers
Respondent(s): Wells Fargo Advisors, Mary Paulin, Robert Laegeler
Respondent Lawyers(s): Gardiner B. Davis
Arbitrator(s): Michael S. Hill, David B. Lacks, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $61,894 |
| 10-05662 | 03/30/2012 | Claimant(s): Linda Stark
Claimant Lawyers(s): Linda A. Stark
Respondent(s): Charles Sleezer, Wachovia Securities Financial Network, Wells Fargo Advisors, Louis Siracusano, Robert Siracusano
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Howard Breindel, Dolores D. Balsamo, Paul Bennett Marrow
Hearing Site: New York, NY
| | $0 |
| 11-02768 | 03/29/2012 | Claimant(s): Valerie F. Shipman, IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
| | $0 |
