18-03524 | 07/30/2021 | Claimant(s): Sergio Praslin Claimant Lawyers(s): Marc I. Zussman Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Investments Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Erik R. Siering, Eric Gad Forster, Steven H. Gentry Hearing Site: Los Angeles, CA
| | Expungement |
19-01333 | 06/24/2021 | Claimant(s): Linda Cassidy, The Estate of Anna Walson Claimant Lawyers(s): Samuel M. Braverman Respondent(s): Alexander Aiello, Wells Fargo Advisors Financial Network, Marc Barretta Respondent Lawyers(s): Charles M. O'Rourke, Michael Naccarato Arbitrator(s): Fred S. Pieroni, John A. Scudiero, Paul Allan Massaro Hearing Site: Jersey City, NJ
| | $0 |
20-03023 | 06/01/2021 | Claimant(s): Peter Goffin Claimant Lawyers(s): Joshua Bautz Respondent(s): Wells Fargo Advisors Financial Network, NewBridge Securities Corp. Respondent Lawyers(s): Gregg J. Breitbart, Patricia Cowart Arbitrator(s): Will Murphy Hearing Site: Boca Raton, FL
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20-03792 | 05/20/2021 | Claimant(s): Charles Fremont Claimant Lawyers(s): Charles L. Fremont Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Geoff Beckham Arbitrator(s): James Richard Carlson, Susanne J. Hollander, Mark A. Frankel Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
19-02695 | 05/11/2021 | Claimant(s): Frank Lestarchick Claimant Lawyers(s): Mark E. Margiotta Respondent(s): Alfonso Gialanella, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): David S. Billet Hearing Site: Jersey City, NJ
| | $43,225 |
20-00401 | 05/05/2021 | Claimant(s): Joanne Olson Claimant Lawyers(s): Kirk G. Smith Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Jack Chapline Vaughan, Daniel D. Hill, Robert C. Rice Hearing Site: Houston, TX
| | Expungement |
20-03017 | 04/23/2021 | Claimant(s): Lisa Howe Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Paul Yarns Arbitrator(s): Robert David Epstein Hearing Site: Columbus, OH
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20-00934 | 03/24/2021 | Claimant(s): Nicholai Rifkind Claimant Lawyers(s): Nicholai Rifkind Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Thomas J. Dolina Hearing Site: Baltimore, MD
| | $75 |
20-02747 | 03/03/2021 | Claimant(s): Charles Sleezer Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Jeffery D. Rodgers Arbitrator(s): Theodore W. Wrobleski Hearing Site: Chicago, IL
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20-00491 | 02/24/2021 | Claimant(s): Gerard Taylor Claimant Lawyers(s): Michael Bessette Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Patrick R. Sughroue Hearing Site: Detroit, MI
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