| 17-00797 | 08/01/2018 | Claimant(s): Dennis Magid
Claimant Lawyers(s): Ari J. Hoffman
Respondent(s): Wells Fargo Advisors, Lynn Grossman
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): John J. Mager, Morris James Busca, Lisa Joy Cappalli
Hearing Site: Hartford, CT
|  | Expungement |
| 17-00352 | 05/14/2018 | Claimant(s): Clarence B. Mills 1991 Irrevocable Trust, William E. Mills 1991 Irrevocable Trust
Claimant Lawyers(s): Alan W. Duncan
Respondent(s): David Robinson, Wachovia Securities Financial Network, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Richard S. Zaifert, Michele Ann Ledo, Theodore Haynes
Hearing Site: Raleigh, NC
| | Expungement |
| 17-01973 | 03/29/2018 | Claimant(s): Gary Ghigliotti
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc., Wells Fargo Clearing Services
Respondent Lawyers(s): Jeremy S. Winer, Michael Naccarato
Arbitrator(s): Jim Geiger
Hearing Site: Manchester, NH
| | |
| 16-03467 | 02/27/2018 | Claimant(s): Kimberly Lambert
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | Expungement |
| 17-01506 | 02/26/2018 | Claimant(s): Jarrod Biebel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Michael Naccarato
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
| | |
| 17-00852 | 02/16/2018 | Claimant(s): Dennis Meyers
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Charles A. Palmer, Steven M. Bialick, Lindsay Mancini
Hearing Site: Minneapolis, MN
| | $116,160 |
| 16-02312 | 01/22/2018 | Claimant(s): Fredrick Stepan, Marion Stepan, The Stepan Trust dated January 18, 2013
Claimant Lawyers(s): Aaron Israels
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Donald N. Tolin, Deanna M. Tuley, Leonard M. Goldstein
Hearing Site: Denver, CO
| | Expungement |
| 17-00561 | 01/10/2018 | Claimant(s): Timothy Foster
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | |
| 17-02413 | 12/21/2017 | Claimant(s): Rita Mahn
Claimant Lawyers(s): Donald J. Mehan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): William M. Getzoff
Hearing Site: St. Louis, MO
| | |
| 16-02314 | 11/22/2017 | Claimant(s): Robert Leech, Robert W. Leech IRA, The Leech Family Trust
Claimant Lawyers(s): Tom Leech
Respondent(s): Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper, Michael Naccarato
Arbitrator(s): John J. Flynn, Kevin C. Coleman, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
