| 15-03318 | 08/29/2017 | Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Bruce K. Isenberg, Donald Theodore Ryce, Jay Eng
Hearing Site: Boca Raton, FL
| | |
| 16-01558 | 06/29/2017 | Claimant(s): Richard Congel
Claimant Lawyers(s): Richard C. Engel
Respondent(s): Wells Fargo Advisors, Paul Kordziel
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stuart M. Schwartz, Michael J. McNeil, David R. Foley
Hearing Site: Syracuse, NY
|  | Expungement |
| 15-02089 | 05/25/2017 | Claimant(s): Dickie Moritz, Phyllis A. Mortiz Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors, Summit Brokerage Services.
Respondent Lawyers(s): Alan S. Rafterman, John W. Shaw
Arbitrator(s): Michael D. Fitzgerald, Rody P. Biggert, Lawrence R. Rute
Hearing Site: Kansas City, MO
| | Expungement |
| 16-00282 | 05/16/2017 | Claimant(s): Howard Shapiro, Marcia Shapiro
Claimant Lawyers(s): David Edgar Bamberger
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stephen M. Gross, Mary Lou McGanney, William James Cortellessa
Hearing Site: New York, NY
| | Expungement |
| 15-02580 | 04/28/2017 | Claimant(s): Clifford Allenby
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): David P. Slater, Will Murphy, Andrew Michael Bonderud
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-00281 | 02/13/2017 | Claimant(s): Iris Hahn
Claimant Lawyers(s): David Edgar Bamberger
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Keely D. Parr, Joyce Clayborne, Joanne Park
Hearing Site: New York, NY
| | Expungement |
| 15-03347 | 01/23/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s): Jeffrey Gianelli
Respondent Lawyers(s): Jeffrey Joseph Gianelli
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
| | |
| 16-00639 | 12/27/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s): Nicole Montecalvo, Laural Lane
Respondent Lawyers(s): Nicole Montecalvo
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 14-02356 | 05/31/2016 | Claimant(s): Janice Levy
Claimant Lawyers(s): Deborah R. Gross
Respondent(s): Wells Fargo Advisors, Kevin Larkin
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Catherine Stewart
Hearing Site: Philadelphia, PA
| | $0 |
| 15-00707 | 04/08/2016 | Claimant(s): Estate of Florence Levine
Claimant Lawyers(s): Michael D. Handelsman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): John A. Scudiero, Robert S. Getman, Michael F. Greco
Hearing Site: Newark, NJ
| | Dismissed by Rule 12504 |
