| 10-03103 | 01/25/2012 | Claimant(s): Blanche Gloetzner
Claimant Lawyers(s): Tiffany J. Brown
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Frances D. Sheehy, Harriet A. Kottick, Bonnie A. Pearce
Hearing Site: Boca Raton, FL
|  | Stipulated Award and Expungement |
| 11-00416 | 01/17/2012 | Claimant(s): Martha Thomas, Robert Thomas
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | $24,880 |
| 11-00699 | 01/11/2012 | Claimant(s): Arlene Halley
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Vicki J. Limas, Pamela M. Roach, Charles W. Adams
Hearing Site: Oklahoma City, OK
| | Stipulated Award and Expungement |
| 11-00437 | 01/04/2012 | Claimant(s): Mark Stepper
Claimant Lawyers(s): Michael H. Klein
Respondent(s): Barry Zuckerberg, Wells Fargo Advisors, Michael Tuozzoli, Paul Sheldon
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | Expungement |
| 10-04964 | 12/27/2011 | Claimant(s): Rita Lois Robinson Trust
Claimant Lawyers(s): Andrew D Gowdown
Respondent(s): Wells Fargo Advisors, John Hodson
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): J. Kirkland Grant, Susan J. Buckley, Robert P. Porter
Hearing Site: Columbia, SC
| | $0 |
| 10-05276 | 12/23/2011 | Claimant(s): John Puglisi
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
| | Expungement |
| 10-05212 | 12/08/2011 | Claimant(s): William Brooks
Claimant Lawyers(s): Cary Ichter
Respondent(s): Wells Fargo Advisors, Lawrence Rule
Respondent Lawyers(s): Glenn A. Delk, Keith J. Barnett
Arbitrator(s): Harry G. Mason, Bruce W. Bennett, James Roland Brumbelow
Hearing Site: Atlanta, GA
| | $214,100 |
| 10-04062 | 12/06/2011 | Claimant(s): Mary Iandiorio, Mary Ann Iandiorio Trust
Claimant Lawyers(s): Brett Alcala
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Frank R Weaver, Linda M. McCoy, Martin Joel Fassler
Hearing Site: San Francisco, CA
| | Expungement |
| 10-05238 | 12/06/2011 | Claimant(s): William P. Hunter and Susan S. Hunter
Claimant Lawyers(s): Marlon J. Howard
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy S. Baird
Arbitrator(s): Janice L. Burnham, John D. Robb, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
| 10-05826 | 12/01/2011 | Claimant(s): Debbie Houston, Laura Lett
Claimant Lawyers(s): J. Michael Bishop
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith J. Barnett
Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Bruce W. Bennett
Hearing Site: Atlanta, GA
| | $130,300 |
