| 10-05677 | 11/28/2011 | Claimant(s): Cynthia Stirling, Cynthia L. Stirling IRA Rollover, Cynthia L. Stirling SEP IRA, Cynthia L. Stirling Living Trust, Cynthi
Claimant Lawyers(s): James R. Walsh
Respondent(s): Wells Fargo Advisors, James Dowley
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Helen Marinak Blohm, Mary Curran, Ferdinand Schoch
Hearing Site: San Francisco, CA
|  | $0 |
| 11-01444 | 11/18/2011 | Claimant(s): Coleman Burns
Claimant Lawyers(s): Coleman John Burns
Respondent(s): Wells Fargo Advisors, Steven Perillo
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
| | $283 |
| 10-05040 | 11/17/2011 | Claimant(s): Florian Wisniewski, Marilyn Wisniewski
Claimant Lawyers(s): Banjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stephen C. Esposito
Hearing Site: Chicago, IL
| | Expungement |
| 10-03824 | 11/16/2011 | Claimant(s): Mary Daige
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Susan M. Thevenet
Hearing Site: Albuquerque, NM
| | Expungement |
| 11-01076 | 11/15/2011 | Claimant(s): Estate of Lois E. Walker
Claimant Lawyers(s): Peter F. Walker
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | $20,819 |
| 10-03084 | 11/11/2011 | Claimant(s): Carolyn Smith, John Smith, Sr. (Annuity), Carolyn K. Smith IRA, John Edward Smith, Sr. IRA
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Alison Hardage, Muriel Desloovere, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | $55,861 |
| 10-05371 | 11/09/2011 | Claimant(s): Judith Schmitt
Claimant Lawyers(s): Christopher McHallam
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): Arthur J. Giacomarra, William I. Carmen, Susan Largay
Hearing Site: Boston, MA
| | $0 |
| 10-05501 | 11/07/2011 | Claimant(s): Mercer Blankenship
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Tim Baird
Arbitrator(s): Robert T. Allen, Lynne T. Albert, Richard E. Miley
Hearing Site: Charlotte, NC
| | Expungement |
| 10-04904 | 10/21/2011 | Claimant(s): Caleb L. Batten Trust
Claimant Lawyers(s): Andre R Perron
Respondent(s): Wells Fargo Advisors, Mitchell Halperin
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): John P. Cullem, Patricia Gunn, Henry A. Tenenbaum
Hearing Site: Tampa, FL
| | $110,271 |
| 09-07068 | 10/18/2011 | Claimant(s): Dan Carlyle
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Robert L. Chisolm, Robert J. Gregory, Paul L. Salzberger
Hearing Site: Dallas, TX
| | Expungement |
