| 15-03232 | 09/26/2017 | Claimant(s): Anthony Listro, Gloria Listro
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors, Richard Galgano
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Marvin L. Schuldiner
Hearing Site: Newark, NJ
|  | Expungement |
| 16-02666 | 05/03/2017 | Claimant(s): Joseph Piellucci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz, Michael Naccarato
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 16-00933 | 04/11/2017 | Claimant(s): Stephen H. Bonney IRA, Stephen H. Bonney Living Trust dated 6/1
Claimant Lawyers(s): Randall R. Heiner
Respondent(s): Brian Weese, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Herbert Liberman, William Michael Samsel, Kevin Edward Anthony
Hearing Site: Salt Lake City, UT
| | Expungement |
| 15-03092 | 12/09/2016 | Claimant(s): Revocable Trust of Ralph Day
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael L. Lyons, James P. O'Grady, Charles Orlove
Hearing Site: St. Louis, MO
| | Expungement |
| 15-02988 | 10/20/2016 | Claimant(s): Caren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
| 15-02904 | 10/18/2016 | Claimant(s): Susanne McInnis
Claimant Lawyers(s): Matthew H Bryant
Respondent(s): John Hutchinson
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Susan L. Luck
Hearing Site: Charlotte, NC
| | Expungement |
| 16-00066 | 10/11/2016 | Claimant(s): Mr. Gonzalo Fernandez, Ms. Esther Fernandez
Claimant Lawyers(s): Esther Fernandez, Steven Fernandez
Respondent(s): Alan Gross, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | $300 |
| 16-00798 | 10/06/2016 | Claimant(s): Christopher Calabrese
Claimant Lawyers(s): Katherine Harrison
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Martin A. Edelstein, Frances Gottfried, John Farrell Connor
Hearing Site: New York, NY
| | |
| 15-00074 | 06/16/2016 | Claimant(s): Mark Schroeder
Claimant Lawyers(s): Chad C. Beaver
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jeffrey Holloway, First Clearing, Sean Harman, Timothy Tadlock, Holloway and Harman Capital Management,
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan, Michael D. Fitzgerald, Dennis Shrewsbury
Hearing Site: Kansas City, MO
| | $423,770 |
| 15-00372 | 04/08/2016 | Claimant(s): Ileane Scopinsky, Sheldon Scopinsky
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Leah G. Rabinowitz, Rena E. Grossfield, James S. Hazard
Hearing Site: New York, NY
| | $0 |
