| 16-00720 | 01/31/2018 | Claimant(s): Jerry McMillon, Jerry A. McMillon Living Trust Under Agr
Claimant Lawyers(s): Mark A. Pruner
Respondent(s): Jason Jaffee, Wells Fargo Advisors, Wells Fargo Securities, John Lee, Wells Fargo Company
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Carlos Richard Mangum, Dean J. Dietrich, Arocles Aguilar
Hearing Site: San Francisco, CA
|  | Expungement |
| 13-03159 | 04/29/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Lee
Respondent Lawyers(s): John Thomas Lee
Arbitrator(s): James P. McCrocklin
Hearing Site: Louisville, KY
| | |
| 09-06329 | 07/26/2011 | Claimant(s): Giovanni Savinovich
Claimant Lawyers(s): John A. Daniels
Respondent(s): Gordie Jamieson, John Lee, Banc of America Investment Services Inc.
Respondent Lawyers(s): John M. Lee, John Lukanski
Arbitrator(s): Dwight Wassong, Joseph H. Cerame, Richard V. Adams
Hearing Site: Newark, NJ
| | Expungement |
| 08-03700 | 07/01/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Kiran V. Somashekara
Respondent(s): John Lee
Respondent Lawyers(s): John M Lee
Arbitrator(s): Nathan J. Minucci
Hearing Site: Newark, NJ
| | |
| 01-06400 | 08/26/2008 | Claimant(s): Robert Tarrington
Claimant Lawyers(s): Robert W. Tarrington
Respondent(s): John Lee, Laurence Forsman, A.G. Edwards & Sons.
Respondent Lawyers(s): Jason S. Mills, Laurence S. Forsman, Nuviah Shirazi
Arbitrator(s): Martin Mandel, David J. Anderson, Michael D. Harrison
Hearing Site: Los Angeles, CA
| | |
| 05-01209 | 11/20/2007 | Claimant(s): Tania Appell
Claimant Lawyers(s): Debra A. Opri
Respondent(s): John Lee, A.G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Harris E. Kershnar, J. Jean Elliott, Michael Charles Doland
Hearing Site: Los Angeles, CA
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