| 10-03527 | 05/15/2013 | Claimant(s): Lawrence Tanowitz
Claimant Lawyers(s): Neil Solomon
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Daniel I. MacIntyre, Sabrina Raquel Scott, Dimitri Angelo Dodys
Hearing Site: Atlanta, GA
|  | Expungement |
| 11-04556 | 03/08/2013 | Claimant(s): Lori Strayn, Payton Ashleigh Strayn U/NV/UTMA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Wells Fargo Advisors, Fred Snyder, E*Trade Securities LLC, Robert Strayn
Respondent Lawyers(s): Deirdre Wolff, John Bersin, Robert Kevin Strayn
Arbitrator(s): Paul Lansing, Sherrill Wm Colvin, Robert David Epstein
Hearing Site: Indianapolis, IN
| | $118,217 |
| 12-01392 | 11/30/2012 | Claimant(s): David Chow
Claimant Lawyers(s): David Chow
Respondent(s): Wells Fargo Advisors, Llc
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $0 |
| 11-02768 | 03/29/2012 | Claimant(s): Valerie F. Shipman, IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
| | $0 |
| 11-02811 | 02/13/2012 | Claimant(s): Jeff Herr
Claimant Lawyers(s): Robert M Riffle
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $9,308 |
| 11-00437 | 01/04/2012 | Claimant(s): Mark Stepper
Claimant Lawyers(s): Michael H. Klein
Respondent(s): Barry Zuckerberg, Wells Fargo Advisors, Michael Tuozzoli, Paul Sheldon
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | Expungement |
| 11-01076 | 11/15/2011 | Claimant(s): Estate of Lois E. Walker
Claimant Lawyers(s): Peter F. Walker
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | $20,819 |
| 07-02030 | 10/12/2011 | Claimant(s): Scott Johnson
Claimant Lawyers(s): Joseph F. Myers
Respondent(s): Buddie Ballard, Wachovia Securities
Respondent Lawyers(s): Deirdre Wolff, Hamilton Rial
Arbitrator(s): Louis J. Weber, Priscilla Kim Park, Carleton E. Blankenburg
Hearing Site: Dallas, TX
| | $0 |
| 09-04514 | 06/10/2010 | Claimant(s): Virginia Kaye Corley
Claimant Lawyers(s): Barry D. Broome
Respondent(s): Wachovia Securities, James Stanley, Kathy Daisey, Kim Thomas, Kristin Sarafinis, Luther Reames, Mark Moore, Scott Tittle, Steve Kelleher
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Alfred Lee Dingler
Hearing Site: Atlanta, GA
| | $0 |
| 09-01421 | 03/24/2010 | Claimant(s): Irving Scharff
Claimant Lawyers(s): Irving Scharff
Respondent(s): Wachovia Securities, Edward Mercier, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
