| 12-03975 | 04/23/2014 | Claimant(s): Barbara Unger, Barbara J. Unger Rev. Trust dtd 12/20/02
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Janet N. Smiles, Stuart Harvey Ziegler, David Rich
Hearing Site: Boca Raton, FL
|  | Expungement |
| 10-03425 | 02/14/2012 | Claimant(s): Francis Hempfling
Claimant Lawyers(s): Layne Verebay
Respondent(s): Wachovia Securities, Eric Nilson
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Janet N. Smiles, Sydney E. Blum
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 09-00840 | 02/16/2010 | Claimant(s): John V.L. Parry & Susan M. Parry JTWROS, The Concetta V. Fearn Trust, The John & Susan Parry CR Trust
Claimant Lawyers(s): John V.L. Parry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Jernigan
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Janet N. Smiles, Marie G. Peterson, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | $588 |
