| 10-03378 | 10/18/2011 | Claimant(s): Estate of Deborah L. Stein
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brady J. Hermann
Arbitrator(s): Brian J. Dunn, David J. Kaufman, James Alden Lincoln
Hearing Site: Boston, MA
|  | $0 |
| 10-04159 | 10/12/2011 | Claimant(s): Stanley Schwarz
Claimant Lawyers(s): Thomas A. Sprague
Respondent(s): Wells Fargo Advisors, Drew Barlow
Respondent Lawyers(s): Yoonsun Chung
Arbitrator(s): Mary Ann M. Melchiorre, Doris J. Dabrowski, E. William Pastor
Hearing Site: Philadelphia, PA
| | $3,537 |
| 09-06162 | 09/09/2011 | Claimant(s): Maya Sherrill, Nida Sherrill
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): John J. Hearn
Hearing Site: Ft. Lauderdale, FL
| | $225 |
| 10-02006 | 08/12/2011 | Claimant(s): Arthur Ball
Claimant Lawyers(s): Steven M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Terry D. Anderson, Kevin K. Forrester, Rose Marie A. Boucher
Hearing Site: San Diego, CA
| | Expungement |
| 10-05055 | 08/09/2011 | Claimant(s): Richard Skop and Lynne Skop
Claimant Lawyers(s): Jeffrey B. Kelvin
Respondent(s): Wells Fargo Advisors, Elaine Regan
Respondent Lawyers(s): Elaine Juliano Regan, Patricia E. Cowart
Arbitrator(s): Daniel M. Mankowski, Gust D. Servis, Peter A.P. Dunlop
Hearing Site: Buffalo, NY
| | $0 |
| 11-00216 | 08/05/2011 | Claimant(s): Doris Dawson
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Jordan Roy Nelson
Hearing Site: Philadelphia, PA
| | $425 |
| 10-03778 | 08/04/2011 | Claimant(s): Joe Stapleton
Claimant Lawyers(s): Robert W. Elton
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Daniel P. Lund
Hearing Site: Orlando, FL
| | $0 |
| 09-06804 | 07/29/2011 | Claimant(s): Catherine McMichael, Wallact T. and Catherine McMichael Trust
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Wells Fargo Advisors, Gary Foose
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Ronald R. Simpson, Leonard J. Sullivan, Robert Dan Sherrill
Hearing Site: Houston, TX
| | Expungement |
| 09-06862 | 07/14/2011 | Claimant(s): Karen Wyman
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Walter C. Parrish, Edward W. Morris, Richard C. Antonelli
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 10-00548 | 07/14/2011 | Claimant(s): Joan Martin
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stuart G. Brooks
Arbitrator(s): Robert J. Kheel, Domitilia M. dos Santos, John J. Vesey
Hearing Site: New York, NY
| | $0 |
