| 19-02555 | 06/01/2020 | Claimant(s): Michael Cowan
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Advisors Financial Network, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Demian J. Betz
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | |
| 18-04072 | 05/04/2020 | Claimant(s): John Moy
Claimant Lawyers(s): Jennifer Willey
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joan H. Palmer, Edward J. Gutman, Jane Tam
Hearing Site: Baltimore, MD
| | |
| 19-01996 | 02/14/2020 | Claimant(s): Mary-Lee Widder
Claimant Lawyers(s): Jessica Calloway
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 19-01739 | 02/13/2020 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Kenneth Vaishville
Respondent Lawyers(s): Kenneth Vaishville
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | |
| 19-02183 | 01/21/2020 | Claimant(s): Mikhail Filshtinskiy
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jamie J. Helman
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 18-01955 | 01/15/2020 | Claimant(s): David Vorbeck, Stephen Dunnuck, Stephen Wien
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Kim M. Ruckdaschel-Haley
Arbitrator(s): Thomas F. Mahoney, Donald Glen Russell, Timothy Crook
Hearing Site: Indianapolis, IN
| | |
| 17-02810 | 12/30/2019 | Claimant(s): John Rossum
Claimant Lawyers(s): Melinda J. Steuer
Respondent(s): Bradley Gardner, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Amir Tadjedin, Christopher A. Stecher
Arbitrator(s): Ralph A. Cotton, Philip Aaron Tymon, Norman Dale Menegat
Hearing Site: San Francisco, CA
|  | Settlement |
| 18-03962 | 12/24/2019 | Claimant(s): The Ilgvars J. Zallaps Family Trust
Claimant Lawyers(s): Steve A. Miller
Respondent(s): Garner Mabry, Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc., Todd Schwartz, Schwartz Mabry Private Wealth Advisory
Respondent Lawyers(s): Bruce W. Day, Julie E. Ravis, William D. Nelson
Arbitrator(s): Jo-Marie Lisa, Baldwin Ranson, Tina Alison Davis
Hearing Site: Denver, CO
| | Dismissed by Rule 12206/12504 |
| 19-01407 | 11/25/2019 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Paul Liebman
Respondent Lawyers(s): Paul Gary Liebman
Arbitrator(s): Arthur M. Handler
Hearing Site: New York, NY
| | |
| 18-02071 | 11/07/2019 | Claimant(s): Rivette Family Trusts
Claimant Lawyers(s): Douglas W. Oldfield
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Kathryn J. Toronto, Gary Kostow, Ranjani Mohana
Hearing Site: San Francisco, CA
| | $0 |
