| 17-02103 | 01/02/2019 | Claimant(s): Eric Gasper, Stacy Gasper
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
|  | Expungement |
| 18-02512 | 12/07/2018 | Claimant(s): Brian McDermott, Patricia McDermott
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): J.P. Morgan Securities, Wells Fargo Clearing Services, Kevin Mercer
Respondent Lawyers(s): Heidi E. VonderHeidi, Jeffery Rodgers, Kevin Allen Mercer
Arbitrator(s): Daniel Robbins
Hearing Site: New York, NY
| | $600 |
| 17-01222 | 11/15/2018 | Claimant(s): Robert Bakst, Silvia Bakst, Silvia Bakst Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Clearing Services, Robert Elkins
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Ronald A. Isackson, Jack A. Helms, Karl A. Vogeler
Hearing Site: Tampa, FL
| | Expungement |
| 17-03261 | 10/23/2018 | Claimant(s): Greg Biddle, Karla Biddle
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-02810 | 10/09/2018 | Claimant(s): Bonnie Faleschini, David Plimpton, Randy Reinke, Richard Faleschini, Sally Redding, Susan Plimpton, Tim Redding
Claimant Lawyers(s): Steven J. Weintraut
Respondent(s): Charles Zajicek, Christopher Most, Wachovia Securities, Wells Fargo Advisors, Wells Fargo Clearing Services
Respondent Lawyers(s): Miriam G. Bahcall
Arbitrator(s): Steven R. Christensen, Michael F. Jordan, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $430,000 |
| 17-02377 | 09/26/2018 | Claimant(s): Keith Yun, Nancy Yun
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David J. Anderson, Arthur T. Berggren, Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-01040 | 08/30/2018 | Claimant(s): Timothy Cusick
Claimant Lawyers(s): William P. Keith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kevin K. Forrester, Brian William Heublein, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Expungement |
| 17-01897 | 08/06/2018 | Claimant(s): Dawn Gray
Claimant Lawyers(s): Dawn Gray
Respondent(s): Jason Exley, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Gerald W. Hepp
Hearing Site: Minneapolis, MN
| | Expungement |
| 17-01601 | 06/22/2018 | Claimant(s): Frank Ventura IRA
Claimant Lawyers(s): Frank Ventura
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-02745 | 05/09/2018 | Claimant(s): James Vreeland, Robert K. Lewis Irrevocable Trust
Claimant Lawyers(s): James P. Vreeland, Pandora Vreeland
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Langfred W. White
Hearing Site: Nashville, TN
| | Dismissed by Rule 12206 |
