21-01955 | 03/01/2022 | Claimant(s): Patricia Gremore Claimant Lawyers(s): Patricia A. Gremore Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., A. G. Edwards & Sons., Wells Fargo Advisors Financial Network, Invesco Distributors. Respondent Lawyers(s): Amanda Parisi, Anne Gerry, Jeffrey D. Rodgers Arbitrator(s): Kevin J. Demet Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
21-01745 | 02/28/2022 | Claimant(s): Dax Williamson Claimant Lawyers(s): Stephan Louviere Respondent(s): Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Geoffrey S. Beckham, Katelyn H. Wilson Arbitrator(s): Thomas D. Reese Hearing Site: San Francisco, CA
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21-01437 | 02/22/2022 | Claimant(s): John Hutchens Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Fifth Third Securities., Wells Fargo Advisors Financial Network Respondent Lawyers(s): Nuviah Shirazi, R. Samuel Gilley Arbitrator(s): Tracy L. Allen Hearing Site: Indianapolis, IN
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20-01831 | 01/18/2022 | Claimant(s): Nancy Mellon Claimant Lawyers(s): Nancy Kimball Mellon Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services Respondent Lawyers(s): Neil M. Katsuyama Arbitrator(s): Gary L. Hodge, Karl A. Vogeler, Richard Kennard Hurley Hearing Site: Tampa, FL
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21-00281 | 11/23/2021 | Claimant(s): Wells Fargo Advisors Financial Network Claimant Lawyers(s): Amy O. Roberts Respondent(s): Susan Lawrence Respondent Lawyers(s): H. Troy Romero Arbitrator(s): Jeanne C Stilwell, David William Hickman, Charles Scott McClellan Hearing Site: Seattle, WA
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20-01900 | 11/04/2021 | Claimant(s): Joseph Serensits Claimant Lawyers(s): Eric D. Edwards Respondent(s): Firhan Choudhary, Wells Fargo Advisors Financial Network Respondent Lawyers(s): Stephen M. Cox Arbitrator(s): Barbara Black, Michael E. Weddington, John Russell Barlow Hearing Site: Raleigh, NC
| | Expungement |
19-00994 | 10/27/2021 | Claimant(s): Francesco Umbriaco Claimant Lawyers(s): Christopher B. Jones Respondent(s): Allen Wagner, Wells Fargo Advisors Financial Network Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Jim Geiger, Thomas R Nathan, Jason L Pearlman Hearing Site: Philadelphia, PA
| | Expungement |
18-02959 | 10/08/2021 | Claimant(s): Cary Lucas Claimant Lawyers(s): Craig H. Kuglar Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Jeffery Rodgers Arbitrator(s): William Barker Brown, Michael Ryan Peacock, Erin Elizabeth Waddington Hearing Site: Atlanta, GA
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20-04207 | 09/22/2021 | Claimant(s): Alex Shore Claimant Lawyers(s): Bejamin J. Biard Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Thomas Joseph Atkinson, Douglas Charles Weinstein, Sara Francis Hoover Hearing Site: Nashville, TN
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20-04205 | 08/03/2021 | Claimant(s): Alex Shore Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Joseph Charles Smolira, A.J. Seier, James A. McIntosh Hearing Site: Nashville, TN
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