| 12-00793 | 07/30/2013 | Claimant(s): Philip Lovell, Philip Lovell Pension Plan, The Lovell Family Trusts
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Stephen J. Taddie, Ernest F. Modzelewski, Aryka Steele Radke
Hearing Site: Phoenix, AZ
|  | $1,802,510 |
| 10-03269 | 09/10/2012 | Claimant(s): Kenneth Lemings
Claimant Lawyers(s): Walter J. Schmidt
Respondent(s): Donald Treloar, Randall Anderson
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Donald H. Korn
Hearing Site: San Francisco, CA
| | Expungement |
| 11-02505 | 05/24/2012 | Claimant(s): Barbara Roberts, Joe Roberts, Joe D. Roberts IRA
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins, Judy Louie
Arbitrator(s): Joseph C. Watson, Robert Allan Klein, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05725 | 02/15/2012 | Claimant(s): Keith Campbell
Claimant Lawyers(s): Keith Anthony Campbell
Respondent(s): Wells Fargo Advisors, Shannon Powers-Solomon
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | $0 |
| 10-03824 | 11/16/2011 | Claimant(s): Mary Daige
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Susan M. Thevenet
Hearing Site: Albuquerque, NM
| | Expungement |
| 09-03803 | 02/22/2011 | Claimant(s): Gilbert Lee, Lee Family Trust
Claimant Lawyers(s): Marc D. Mabile
Respondent(s): Bart Martinez, Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | $34,305 |
| 09-03471 | 02/14/2011 | Claimant(s): Steve Fraser
Claimant Lawyers(s): John Gulino
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $25,000 |
| 10-02327 | 01/20/2011 | Claimant(s): Richard Cain
Claimant Lawyers(s): Richard Y. Cain
Respondent(s): Wachovia Securities, Paul Ross
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Langfred W. White
Hearing Site: Jacksonville, FL
| | $0 |
| 09-04471 | 12/20/2010 | Claimant(s): The Vallone Family 1985 Trust
Claimant Lawyers(s): Richard J. Annen,
Respondent(s): Wachovia Securities, Victor Koby
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kelly A. Barker, Mandel E. Himelstein, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | $210,891 |
| 09-05158 | 12/14/2010 | Claimant(s): Lynda Adee
Claimant Lawyers(s): Elizabeth A. O'Brien
Respondent(s): Wells Fargo Advisors, Thorolf Teigen
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Walter J. Huntley
Hearing Site: San Francisco, CA
| | $53,000 |
