| 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 |
| 16-00543 | 12/12/2016 | Claimant(s): John Toman
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Brett W. Everhart, Doris V. Knotter, Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 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 |
| 15-01676 | 09/12/2016 | Claimant(s): Jeffrey Ball, Jeffrey D. Ball IRA
Claimant Lawyers(s): Philip M. Aidikoff, Ryan K. Bakhtiari
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Ronald L. Cameron, Constance Ellen Boukidis, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | $262,354 |
| 14-02522 | 05/05/2016 | Claimant(s): Donna Gall, Lillian Mae McDonald IRA, McDonald Family Trust B-UA 03/09/2000, McDonald Family Trust U/A 04/10/1984
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Judy Louie, Melissa M. Muehlfeld
Arbitrator(s): Timothy J. Kroll, Jay Lawrence Witkin, Karen D. Hanson
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-02766 | 04/04/2016 | Claimant(s): Melissa Conway
Claimant Lawyers(s): Robert L. Schibel
Respondent(s): Wells Fargo Advisors, Daniel Klein
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert D. Sussin, Norman Michael Garland, Robert Edward Koondel
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-02803 | 02/12/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Judy Louie
Respondent(s): Gustavo Miramontes
Respondent Lawyers(s): Gustavo Santos Miramontes
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 13-01369 | 11/13/2015 | Claimant(s): William Call
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Samuel B. Garber, Rita J. Jacyna Curley, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
| 15-00566 | 11/10/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Judy Louie
Respondent(s): Timothy Barnard
Respondent Lawyers(s): Timothy Scott Barnard
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 13-02833 | 11/02/2015 | Claimant(s): Felyce Thomas
Claimant Lawyers(s): Herbert Wiggins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | Expungement |
