| 16-02346 | 01/18/2017 | Claimant(s): Verna Munden
Claimant Lawyers(s): Robert J. Slotkin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12504 |
| 13-03752 | 01/06/2017 | Claimant(s): Barbara Ann Lyster Trust
Claimant Lawyers(s): Barbara Ann Lyster
Respondent(s): Adam MacDonald, Wells Fargo Advisors, Pamela Adams
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kenneth E. Owen, Judith Porter, Richard William DeWeese
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00639 | 12/27/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s): Nicole Montecalvo, Laural Lane
Respondent Lawyers(s): Nicole Montecalvo
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 14-01674 | 12/20/2016 | Claimant(s): George Kezios
Claimant Lawyers(s): Stephen J. Thomas
Respondent(s): Wells Fargo Advisors, Gregory Chachas
Respondent Lawyers(s): Judy Louie
Arbitrator(s): John Alen DeRosa, Michael D. Harrison, Joseph Winter
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-02085 | 12/14/2016 | Claimant(s): David Covington
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Raymond C. Kerr, Barbara L. Edin, Daniel J. Pagnano
Hearing Site: New Orleans, LA
| | Expungement |
| 15-01200 | 12/09/2016 | Claimant(s): William D Fitzharris
Claimant Lawyers(s): William D Fitzharris
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Susan L. Luck, James F. Major, Brock Bingham Gordon
Hearing Site: Charlotte, NC
| | Expungement |
| 15-03092 | 12/09/2016 | Claimant(s): Revocable Trust of Ralph Day
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael L. Lyons, James P. O'Grady, Charles Orlove
Hearing Site: St. Louis, MO
| | Expungement |
| 15-03495 | 11/16/2016 | Claimant(s): Sefferino Guerrera, Sefferino Guerrera IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, David Kakuda, Morgan Stanley
Respondent Lawyers(s): Judy Louie, Kitoh Grey
Arbitrator(s): Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-00235 | 10/24/2016 | Claimant(s): Estate of Daniel Drummond
Claimant Lawyers(s): Andrew D. Gowdown
Respondent(s): Charles James, Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Robert A. Dean, Dana Tait Sandlin, Richard James Igou
Hearing Site: Columbia, SC
| | $5,988 |
| 15-02988 | 10/20/2016 | Claimant(s): Caren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
