| 18-01133 | 02/25/2019 | Claimant(s): Capital One Investing
Claimant Lawyers(s): James A. Nofi
Respondent(s): Guiseppe Gigliotti
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Henry F. Minnerop, Ted M. Rosen, Peter A. Seibel
Hearing Site: New York, NY
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| 18-03596 | 01/30/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Joseph Stango
Respondent Lawyers(s): Joseph John Stango
Arbitrator(s): Steven T. Stern
Hearing Site: Hartford, CT
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| 15-02443 | 01/29/2019 | Claimant(s): David Lerner Associates.
Claimant Lawyers(s): Gene L. Small
Respondent(s): Charles Margiasso, Daniel Burns, Edward Finocchiaro, Wells Fargo Advisors, Joseph Lafferty, Loreto Testani, Martin Weiss, Michael Rosen, Mitchell Fischer, Timothy Cheriaparampil
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Fred S. Pieroni, Francis Carling, Charles Norman Weinberg
Hearing Site: New York, NY
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| 14-00278 | 12/05/2018 | Claimant(s): Christopher Tisi
Claimant Lawyers(s): John D. Singer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Martin Jay Siegel, Sherri L. Hughes, John Michael Bergin
Hearing Site: New York, NY
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| 17-00577 | 06/01/2018 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Dave Rao
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 15-00875 | 10/21/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Eric Zakarin
Respondent Lawyers(s): James Halter
Arbitrator(s): Julian F. Santos, Stanley M. Lenkowicz, Veronica Ann Williams
Hearing Site: Newark, NJ
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| 15-00140 | 04/12/2016 | Claimant(s): Robert Bowman
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): Jim Geiger, John P. Azzopardi, Donald S. Bauman
Hearing Site: Philadelphia, PA
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| 11-02169 | 02/17/2016 | Claimant(s): James Cady
Claimant Lawyers(s): Kevin E. Barber
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Marvin Schleyer, Neal D. Baker, Michael A. Ruderman
Hearing Site: Newark, NJ
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| 12-01957 | 12/04/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Lewis Lucarine
Respondent Lawyers(s): Lewis J. Lucarine
Arbitrator(s): Jim Geiger, Diane Ciccone, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
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| 13-02466 | 08/06/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Timothy Miller
Respondent Lawyers(s): Joseph R. West
Arbitrator(s): Peter Edward Sheridan
Hearing Site: Philadelphia, PA
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